The Art of… Compliance

The Art of… Compliance

Role: Compliance Professional • Qualification: Level 4Duration: 20 months

Compliance. In financial services. You could be forgiven for thinking that it doesn’t sound like the most thrilling career in the world. But you just might be surprised. Click here to read a case study from Hannah who works in compliance.

This course is designed to take someone with little or no financial services experience, to a fully qualified, and trained, compliance adviser. (detailed further in the ‘Qualification’ tab)

In addition to the actual qualification, the course will deliver the wider knowledge and practical training that’s needed to be a successful compliance professional, including:

  • Compliance Fundamentals
  • The Advice Process
  • Research processes and systems
  • Use of back office, platform and other finance technology
  • Markets, funds and industry overview
  • File Reviews
  • Regulations, the FCA & Gabriel
  • Supervision, Training & Competency
  • Touch Typing & Practical Application

For those already working in financial services, we will tailor training to match the systems and software used by your existing company wherever possible.

The course includes the study material and exam entry, as well as dedicated training, for the six exams that make up the Diploma in Regulated Financial Planning, via the Chartered Insurance Institute. This is the level of qualification required by the regulatory body, the FCA, for an individual to be a regulated financial adviser, and it is widely accepted as a benchmark qualification for a qualified and experienced compliance professional to also hold.

The course will be delivered over 20 months and the structure includes:

  • 15 face to face training sessions
  • Virtual study clubs
  • Additional study support, including practice questions, audio downloads and visual guides to support your self-study.

The course is designed to provide flexibility – doing the bulk of the exam revision and making your way through the online learning modules in your own time. You will, however, need to be available for the face to face training sessions and encourage you to join the virtual study clubs where you can too. We will provide you with the dates of those upon enrolment.

The price of the course is £4,995, inclusive of all relevant VAT
Employers payment plan.

You will be invoiced for 50% of the course fee upon enrolment and this will be due 30 days before the first session. The remaining 50% will be due at the halfway point of the course.

We do offer a 10% discount to those paying for the full course upfront, upon enrolment.

Self-funders payment plan.

To make the course as accessible and affordable for those outside the profession and achieve our mission of attracting as many people to a new career in financial services as we can, we have a payment plan for those individuals self-funding their study, where the full cost is paid over the duration of the course, on a monthly basis.

Start Dates

30th January 2020 (NORTH – Darlington)

27th April 2020 (SOUTH – London)


Signing up with us is simple – click here and complete the sign up form. We will then send you an email with a full prospectus and the next available start date. When you have selected your preferred start date, we can enrol you and you will receive your first batch of course material and dates for your diary.

Part of the Verve Group

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