The Art of Compliance

The Art of Compliance

This course is designed for those with little or no financial services experience, and delivers the knowledge and practical training needed to be a successful compliance professional. Click here to read a case study from Hannah who works in compliance. You might just be surprised at what this career has to offer.

This course is designed to provide learners with wider knowledge of the role delivered by experienced compliance professionals, and to teach the practical skills needed to successfully fulfil that role – skills that can’t be learnt from a textbook, but will be relevant and useful in a real working environment.

The course is aimed at someone with little or no financial services experience, with modules broken down into bitesize chunks making content manageable.

The course is delivered via 7 modules. See the ‘topics’ tab for more info on each of them.

What you’ll learn
  • A firm’s responsibilities in ensuring they comply with legislation
  • How to work with clients, track cases and ensure efficiency
  • How investment markets work
  • About software that supports the financial advice process
  • What a good file review contains
  • How to apply FCA principles
  • How to conduct a Training and Needs Analysis

This course includes
  • Access to 28 hours online content
  • Networking opportunities with the learning community
  • Support from a course tutor
  • Technical assistance
  • End of course assessment
This programme comprises of seven modules. They are:
  • Compliance Fundamentals
  • The Advice Journey
  • Markets, Funds & Research
  • Products and Platforms
  • File Reviews
  • The Regulator
  • Supervision, Training and Competency
Download the Course Guide on the right, to read more about the learning objectives for each module.


This programme is suitable for those looking to persue, or progress, their career in a compliance role within a financial planning firm.

Whether you are brand new to the world of compliance in financial services, or have been in the role for a number of years and want to refresh your skills, this course will provide you with the knowledge required to do your job.

It covers the most recent legislation (handy, given how much has changed in the last couple of years!) as well as practical training for dealing with the FCA and using their systems, making it relevant for anyone with an interest in compliance.


The price of this programme is £1,400 + VAT.


Self-funders payment plan

To make the course accessible and affordable for new-entrants to financial services, we offer a payment plan to those individuals self-funding their study, where the full programme cost can be paid over the duration of the course, on a monthly basis.


Completion requirements

The whole course requires completing, along with the end of course assessment. This has a minimum pass mark of 65% to be achieved in order to successfully pass the course.

Upon completion of this course, you will be recognised as having attained the Art of Compliance training course, from The Art of Finance.


In addition, all of our content has been CPD Certified, meaning that all your time and investment is nationally recognised. Upon completion of your course, you’ll be sent your Art of Finance kitemark and CPD certificate to acknowledge your successful skills training and evidence for your firm’s compliance.

£1,400 + VAT




28 hours


1 hour per week


Part of the Verve Group

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