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While standard compliance activities are essential, managing people risk becomes the most critical aspect once compliance is fully operational. The Training and Competence (T&C) function, along with ongoing training and development, is vital to reduce risks and demonstrate that all employees possess the necessary skills, knowledge, and expertise to perform their roles effectively. This forms the foundation of competency. 

Proper development keeps standards high and staff engaged, reducing adviser and staff turnover.

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The Role of Training and Competence

Effective compliance isn't just about policies that no-one reads —it's about managing people risk. A robust Training and Competence (T&C) function reduces risks and proves everyone has the skills and knowledge needed for their roles.

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Supervision in the Age of AI
AI is changing compliance, but T&C needs human oversight. Skilled supervisors ensures competency is properly monitored and evidenced, and not as a tick box exercise.
 

Our Training Solutions

Our extensive training models are always expanding. Clients on our plans get access or discounts on our courses. We also offer bespoke courses to fit your firm's needs and message.

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"Never Stop Learning Because Life Never Stops Teaching."

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