Finance Legislation: Leading for Compliance

As a leader, you shape how compliance is understood, valued, and lived day-to-day. This course equips managers with the knowledge and confidence to guide their teams through finance legislation, regulation, Consumer Duty, and broader legislative requirements. Managers will explore how to lead with clarity and consistency, making compliance part of everyday culture and driving strong customer and business outcomes. Participants will leave with a suite of tools designed to bring key messages to life for sales teams.

Objectives:

• Recognise the key pieces of legislation and explain how they affect your team’s responsibilities – understand how regulation impacts daily sales activity and lead practical, positive implementation
• Describe the FCA’s purpose and embed its priorities into your team’s behaviours – apply key regulatory principles to drive a culture of trust and professionalism
• Lead your team in delivering Consumer Duty and supporting vulnerable customers – guide your team in identifying vulnerability and evidencing good customer outcomes through practical support
• Define the wider landscape of finance legislation and cascade knowledge effectively – design and deliver tools, activities and communications that embed compliance in team practice

Duration: 4 hours

Assessment: Included ✓ (80% Pass, 90% Merit, 95% Distinction)

Certificate: Included ✓

Follow Up Resources: Included ✓