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SpinDistribute.com Article Directory

The following article was published in our article directory on December 23, 2016.
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The Beauty Is In The Simplicity Of A Compliance Manual

Article Category: Advice

Author Name: Lee Werrell

Although there is seemingly an ever increasing list of regulatory compliance duties, there are a great many occasions where employees do not need the chapter and verse of a set of rules, or company policy: just an overview or simplified statement will suffice. They do, of course, have to be aware of the requirements.

Nobody is suggesting that staff have to have access to all the company policies, or details of the processes at all times and, for many, the daunting task of searching for the relevant level of information can be off putting and leaving this to chance can be a risky business and regulatory compliance strategy.

More & more firms are now aiming to ensure their staff are professionally trained, and also ensuring that they have been provided with sufficient instructions to ensure they know what to do; why they need to do it, how to do it, and when to do it.

A lot of information needed in Business-as-usual operations can be acquired easily and quickly if a centralised document, a hub of information, with pointers to relevant policies and procedures, hyperlinks to the regulator's handbook and references to the related legislation.

To do this correctly, professionally, compliantly and provide the necessary company stance, be incorporated as part of the due diligence audit trail and provide the right level of written instructions, is best done by means of a Compliance Manual.

Not only read when members of staff join your firm, this manual also helps your company grow in confidence, because by following this reference and instruction document they know they are doing the right thing. By referring to this high level document they know they are complying or know where to find supplementary information; they have no fears of putting the organisation in jeopardy. This element of the simplicity of a Compliance Manual is further increased and provides exceptional value for all staff that will fall under the Senior Managers and Certification Regimes, scheduled to replace the Financial Conduct Authority (FCA) Approved Persons Regime in 2018.

The regulators expect compliance manual to be a firm specific, living breathing document and as such, firms should create such a manual themselves, but few do, mainly due to the time & resource implications involved in starting with a blank computer screen. For many, attempting to end up with a workable, simple & uncomplicated set of documents takes an enormous amount of cooperation, management time and co-ordination.

Compliance Consultant have the obvious answer for you. They supply you with a template manual of over 125 pages broken down into easily editable, appropriate segments. You then take some time to personalise it and edit the contents (including a change guide supplied by them) and in a fraction of the time, you have a fully operating Compliance Manual, as used by IFAs, Wealth Managers, Stockbrokers, Private Banks and a whole host of other firm types.

What's more, as the template was designed by a QCF Level 6 qualified specialist, and is immediately available by download, you don't have to wait to start editing and "owning" your Compliance Manual.

From "Advertising for New Business" through to "Whistleblowing" it contains over 45 sections, including a section with ACTIVE hyperlinks to current regulatory rules, guidance and legislation, categorised into 7 areas for your ease of your reference.

Compliance Consultant is one of the UK's leading Financial Services Regulatory Compliance Consultancies. Specialising in Compliance Manual Template, Risk Management, Governance, Strategy, Succession Planning, Company Growth and Leadership Training solutions.

Keywords: fca,financial conduct authority,compliance,pra,compliance officer,policies and procedures,fca website,what is compliance,compliance manager,fca regulation, compliance manual

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