FCA Regulatory Training
Comprehensive FCA compliance training designed for everyone employed in financial services firms. Our expert-led programmes focus on attaining competence, maintaining competence, and proper record keeping to ensure your team meets all regulatory requirements.
Who needs to build competence?
Training works best when the audience and expected behaviour are specific.
Board and SMFs
Strengthen governance, challenge and accountability.
Customer-facing teams
Apply conduct, vulnerability and communication expectations.
Compliance and MLRO
Develop technical control and reporting knowledge.
New joiners
Create an organised induction and evidence path.
Our Training Framework
Comprehensive compliance training covering all FCA requirements
Attaining CompetenceWhat attaining competence covers in a training programme.
- Initial competency assessment and baseline evaluation
- Role-specific training programmes aligned to job functions
- Structured learning pathways for new employees
- Qualification and certification support
Maintaining CompetenceWhat maintaining competence covers in a training programme.
- Ongoing continuous professional development (CPD)
- Regular knowledge updates on regulatory changes
- Annual competency reviews and assessments
- Skills gap analysis and remediation planning
Record KeepingWhat record keeping covers in a training programme.
- Training record documentation systems
- FCA-compliant training logs and evidence
- Competency matrix maintenance
- Audit trail preparation and management
What you will need to produce
- Training needs analysis
- Role-based programme and materials
- Assessment and competence records
- Refresh schedule and management information
Design learning by role and risk
Training should help people make better decisions in their actual responsibilities.
Training needs
Map roles, permissions, customer contact, senior responsibilities and risk exposure.
Practical content
Use scenarios, decisions, case studies and examples from the firm's operating context.
Assessment
Define how knowledge and competence are checked, recorded and followed up.
Keep competence evidence current
The records should show more than who attended a session.
Learning records
Retain content, audience, attendance, assessment, completion and follow-up evidence.
Refresh cycle
Set review triggers for regulatory change, role change, incidents and scheduled refreshes.
Management information
Report gaps, overdue learning, assessment results and themes to accountable managers.
How MEMA helps
Training is a competence obligation, so the useful output is not attendance but evidence that the right people understand the right things.
- 01
Analyse the training need
We map roles against the risks and rules each one carries, so the programme reflects what people actually do rather than a generic syllabus.
- 02
Design by role
Separate content for boards, senior managers, certified staff and front-line teams, because the same session cannot serve all of them well.
- 03
Deliver with real examples
Sessions are built around your products, customers and past issues, which is what makes the material land and what makes it defensible.
- 04
Assess and record
Assessment and completion records kept in a form that supports a competence assessment, rather than a certificate that proves someone sat in a room.
- 05
Keep it current
A refresh schedule tied to regulatory change and to role changes, with management information on coverage and gaps.
Why Choose MEMA Training
Training delivered by ex-regulators and Big 4 consultants with real-world expertise
Expert Trainers
Ex-regulators and Big 4 consultants
Role-Tailored
Training customised by job function
FCA Compliant
Meets all regulatory requirements
Practical Focus
Real-world application and scenarios
Who Should Attend
Training tailored for all roles within financial services firms
Senior Managers
Compliance Officers
Financial Advisors
Customer Service
Sales Teams
Operations Staff
Risk Managers
New Employees
Key Training Benefits
Comprehensive training programmes that deliver measurable results
HR Decision Support
- Evidence-based data for performance reviews
- Competency tracking for promotion decisions
- Skills gap identification for recruitment planning
- Training effectiveness measurement and ROI
Compliance Violation Analysis
- Root cause identification of compliance breaches
- Training needs analysis following incidents
- Remediation programme design and implementation
- Prevention strategies through targeted education
Regulatory Confidence
- FCA inspection readiness and audit preparation
- Demonstrable commitment to competence
- Reduced regulatory risk exposure
- Enhanced firm reputation and credibility
Employee Development
- Clear career progression pathways
- Enhanced job satisfaction and engagement
- Improved customer outcomes through better service
- Professional development and certification support
Training Delivered by Industry Experts
Our training programmes are delivered by ex-regulators and Big 4 consultants who bring real-world experience and practical insights. Every course is tailored by role type to ensure relevance and maximum impact for your team members.
Ex-FCA Regulators
Big 4 Experience
Practical Expertise
Sectors We Support
This service is available for firms across these regulated sectors
Related FCA Guidance
Deeper reading on the regulatory topics covered in our training programmes.
SM&CR Responsibilities
Understanding responsibilities mapping and the Conduct Rules under SM&CR.
HandbookConsumer Duty Outcomes
The four outcomes every staff member needs to understand and deliver.
HandbookFinancial Promotions Approval
FCA rules on approving and communicating financial promotions.
Frequently asked questions
How should regulatory training be tailored?
The content should reflect the role, permissions, customer interactions and risks the learner faces. Practical scenarios and decisions make the learning more useful than generic rule summaries.
How is competence different from attendance?
Attendance shows that a session took place. Competence evidence also considers assessment, application, follow-up and whether the individual can perform the relevant responsibilities.
What training records should a firm retain?
Records should show the audience, content, date, attendance, assessment or completion evidence, follow-up actions and the review or refresh cycle.
Can training support SM&CR and Conduct Rules?
Yes. Role-based training can connect senior-manager responsibilities, certification decisions and Conduct Rules to the firm's real governance and customer-facing activities.
Related Services
View all services →Ready to Enhance Your Team’s Compliance Knowledge?
Contact us to discuss tailored regulatory training programmes for your firm
Phone: 0330 133 0811
Email: contact@memaconsultants.com