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LGCA | Build Skills with Online Courses and Certificates by Industry Experts
£474.00
Learning Outcomes
By the end of the programme, participants will:
Who Should Attend
Relevant staff roles include Risk and Compliance, Operational Oversight and Management.
Training Outline
Regulatory expectations – the role of Compliance Monitoring
Monitoring Outcomes under the Consumer Duty
Senior Managers and the Consumer Duty
Recognising differences
Industry Expert | Steve Fairclough
Steve began his financial services career in 1993 and has over 20 years practical training experience across a range of sectors and topics. He is a former Head of Education for HSBC covering the UK and Europe, responsible for regulatory and financial crime related compliance learning. His time at HSBC was during intense scrutiny from regulators and government functions during the bank’s Deferred Prosecution Agreement. Other roles include leading the Monitoring and Testing programme for a UK Wealth Manager, and Senior Vice President responsible for Global Risk & Compliance training at a US-based bank. He also worked in the Insurance Firms division at the Financial Conduct Authority (in the FSA days) where he was the divisional expert for the rules and outcomes required under the Training & Competence handbook.
The HSBC role, along with five years at Barclays in their Private Clients and Wealth functions, has seen Steve work with retail, commercial, wholesale and private banking channels. Since leaving HSBC, Stephen has worked with the compliance, HR and operational teams of firms to enhance their regulatory understanding, as well as delivering content across private equity firms, investment houses, banks and wealth managers. He regularly delivers core programmes for TISA and the Investment Association.
Steve is a former member of the Investment Management Association Training & Education Committee and won the Thomson Reuters award for “Most Effective Compliance Training at a Regulated Firm” in 2010.