The FCA doesn't just ask whether your people are competent — it asks whether you can prove they were competent before they started doing regulated work. An employee who begins client-facing work without completing AML training, documented competence verification, or FCA Handbook awareness creates a regulatory exposure that exists whether or not anything goes wrong. "We had an induction policy" is insufficient. What works is documented evidence: mandatory training with 80% pass rates, dual-signed checklists with date stamps, structured review meetings, and records retained for seven years post-termination. The FCA doesn't wait.
What's included:
Full regulatory mapping: SYSC 3, SYSC 5.1.1R, TC Sourcebook, SM&CR SYSC 24–27, MLR 2017, UK GDPR/DPA 2018, and COBS/ICOBS/MCOB/CONC
Pre-employment preparation checklist: regulatory references, criminal record checks, qualifications verification, conflicts declarations, and FCA/SM&CR notifications
Four-week structured programme: Day 1 through Week 4 with daily milestone mapping — regulatory training, department procedures, practical application, and competence validation
Mandatory training modules: FCA Handbook principles, Consumer Duty, AML/CTF, UK GDPR, and market conduct — all with 80% minimum pass rate and 5-day remedial retest window
Competence assessment framework: Initial Knowledge Assessment (Week 1), Practical Skills Evaluation (Weeks 2–3), and Competence Validation (Week 4) — with line manager and compliance sign-off
Review schedule: structured meetings at Weeks 1, 2, 4, and 8 — with 5-day remedial action window for identified gaps
Non-compliance disciplinary framework: verbal warning through to termination — with FCA reporting obligation for serious non-compliance
+ much more
Who is this for?
Compliance Officers, HR Directors, SMF16 holders, and line managers at FCA-regulated firms who need a complete, board-approved Induction Policy that turns regulatory competence obligations into a documented, auditable, evidenced process.
How it works
Step 1 — Read it. Every section exists for a reason, grounded in a specific regulatory obligation.
Step 2 — Understand it. Map the content against your current practices. Identify where you're strong and where gaps exist.
Step 3 — Make it yours. Tailor the language to reflect how your organisation actually operates. A policy that sounds like your firm is a policy your people will follow.
Step 4 — Take ownership. Assign clear accountability — Board approval, named SMF holder, designated policy owner. A policy without an owner is a liability, not an asset.
Step 5 — Operationalise it. Embed the policy into your governance calendar, training programme, and annual review cycle. This is where compliance becomes culture.
Or, get this free with RegTechPRO
Access this alongside the full compliance policy library — SM&CR, COBS, AML, Consumer Duty, GDPR, and more — for a fraction of the cost of consultancy.
View RegTechPRO pricing and packages →
The FCA doesn't just ask whether your people are competent — it asks whether you can prove they were competent before they started doing regulated work. An employee who begins client-facing work without completing AML training, documented competence verification, or FCA Handbook awareness creates a regulatory exposure that exists whether or not anything goes wrong. "We had an induction policy" is insufficient. What works is documented evidence: mandatory training with 80% pass rates, dual-signed checklists with date stamps, structured review meetings, and records retained for seven years post-termination. The FCA doesn't wait.
What's included:
Full regulatory mapping: SYSC 3, SYSC 5.1.1R, TC Sourcebook, SM&CR SYSC 24–27, MLR 2017, UK GDPR/DPA 2018, and COBS/ICOBS/MCOB/CONC
Pre-employment preparation checklist: regulatory references, criminal record checks, qualifications verification, conflicts declarations, and FCA/SM&CR notifications
Four-week structured programme: Day 1 through Week 4 with daily milestone mapping — regulatory training, department procedures, practical application, and competence validation
Mandatory training modules: FCA Handbook principles, Consumer Duty, AML/CTF, UK GDPR, and market conduct — all with 80% minimum pass rate and 5-day remedial retest window
Competence assessment framework: Initial Knowledge Assessment (Week 1), Practical Skills Evaluation (Weeks 2–3), and Competence Validation (Week 4) — with line manager and compliance sign-off
Review schedule: structured meetings at Weeks 1, 2, 4, and 8 — with 5-day remedial action window for identified gaps
Non-compliance disciplinary framework: verbal warning through to termination — with FCA reporting obligation for serious non-compliance
+ much more
Who is this for?
Compliance Officers, HR Directors, SMF16 holders, and line managers at FCA-regulated firms who need a complete, board-approved Induction Policy that turns regulatory competence obligations into a documented, auditable, evidenced process.
How it works
Step 1 — Read it. Every section exists for a reason, grounded in a specific regulatory obligation.
Step 2 — Understand it. Map the content against your current practices. Identify where you're strong and where gaps exist.
Step 3 — Make it yours. Tailor the language to reflect how your organisation actually operates. A policy that sounds like your firm is a policy your people will follow.
Step 4 — Take ownership. Assign clear accountability — Board approval, named SMF holder, designated policy owner. A policy without an owner is a liability, not an asset.
Step 5 — Operationalise it. Embed the policy into your governance calendar, training programme, and annual review cycle. This is where compliance becomes culture.
Or, get this free with RegTechPRO
Access this alongside the full compliance policy library — SM&CR, COBS, AML, Consumer Duty, GDPR, and more — for a fraction of the cost of consultancy.
View RegTechPRO pricing and packages →
Image 1 of 7
Image 2 of 7
Image 3 of 7
Image 4 of 7
Image 5 of 7
Image 6 of 7
Image 7 of 7
