Compliance Reporting - Live at Your Desk for FCA Authorised Firms

Introduction

At the heart of a compliance function are the twin purposes of ‘advise and assist’, along with ‘monitor and assess’.

To fulfil our responsibilities, we need to communicate what we have found while monitoring, in a way that helps the reader recognise the gap between where they currently are - and where they need to be.

With the volume of reporting and data to consider within regulated firms, compliance reports need to effectively inform the reader of what has been reviewed, what has been found, why any gaps are important and what the end result needs to be.

This new virtual classroom seminar will cover structuring a report but also how to improve the likelihood of landing your message effectively and gaining traction to drive relevant and value-adding change within the business.

It is suitable for all business control, risk, and compliance personnel involved in writing, reviewing, or issuing reports.

What You Will Learn

This live and interactive session will cover the following:

• UK regulatory requirements (with a mirror to non-UK requirements too)
• Reporting alongside SMCR - the senior manager’s best friend
• The report
• Executive summary
• Scope
• Style
• Writing for the reader
• Findings and priorities
• Business-identified issues
• Defining audience roles (RACI) and landing the report well
• ‘Closing the sale’ - gaining agreement to act
• Verification of progress and escalation of non-delivery
• Record keeping to improve efficiency

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.