This training will help to examine the practical implications of the regulatory framework and consider how best to manage Compliance Monitoring within your firm.

By the end of this workshop you will be able to:

  • Be up to date on the key changes that will impact the compliance function and approaches to compliance risk management  
  • Be able to analyse both distinct and the overlapping responsibilities between the regulators and the behavioural responses expected from firms  
  • Have considered whether your current structure is fit for purpose   
  • Have reviewed the allocation of responsibilities between compliance, business senior management functions and other functions such as risk, audit and finance  
  • Understand how to embed compliance within the governance of the business to the right level  

Take this training in-house:

This workshop is also available as an in-house programme, which means you can tailor it to exactly what you and your colleagues require. Pricing for in-house will depend on what is required. Enquire about this option by contacting our training team.

Leigh-Anne Moore

Leigh-Anne Moore

As former Head of Training at XReg Consulting, and CEO of the company’s UK business, Leigh is passionate about building learning programs. With a core...

As former Head of Training at XReg Consulting, and CEO of the company’s UK business, Leigh is passionate about building learning programs. With a core focus on the risks, opportunities and developments across global regulatory regimes, she is able to leverage her deep understanding of this sector based on her experience. She has developed a wide spectrum of compliance training programs for UK, European and Middle Eastern banks and has helped push regulatory focus to the forefront of training strategies in her previous roles as Head of Finance Academy at HSBC and Senior Strategic Advisor at Samba Bank.

A long time senior executive in the financial services sector, Leigh brings considerable technical expertise leveraging over 20 years in regulatory finance and risk management. She has advised top tier investment and retail banks on how to navigate and implement regulatory changes while balancing strategic and commercial business considerations. Her insights on key regulatory hotspots are helping to shape the crypto regulatory agenda and driving focus on the role of conduct and culture for senior managers and leadership teams.

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  • Legal Compliance Manager 
  • Assistant Compliance Officer 
  • Compliance Officer  
  • Risk and Compliance Officer 
  • Compliance Specialist 
  • Senior Compliance Monitoring Manager 
  • Compliance Officer FP and Customer Communications 
  • Compliance Director and MLRO 

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