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Online FCA Training

Get workers up to speed with the regulations and practices that keep the financial markets running effectively.

The Financial Conduct Authority (FCA) is the main financial regulator in the UK, monitoring the conduct of over 50,000 firms to ensure that financial markets are honest, fair and competitive. There are standards of conduct that all firms must follow to meet regulatory obligations. Our FCA compliance solutions can help firms ensure they meet these standards of conduct.

Training and competence are an important part of FCA regulation, ensuring that consumers are supported through appropriately qualified and well-regulated financial services workforces. Firms need to continuously assess, record, maintain and evidence the FCA compliance training of both employers and their staff to ensure they are competent and have the correct skills, knowledge and expertise needed to carry out the responsibilities of their role.

In the past, staff who have been guilty of mis-selling, misconduct, malpractice, and even fraud, has resulted in billions of pounds in fines, compensation, and other penalties for the UK’s financial services industry. These penalties have negatively affected pension plan holders, shareholders, savers, and investors – not to mention the economy at large – and that’s why it’s essential for financial services firms and markets to be regulated and for staff and consultants to be appropriately trained in FCA compliance.

Get your entire staff on board with FCA requirements

The Financial Conduct Authority (FCA) requires the country’s 1.1 million financial services workers to maintain high quality standards by following highly-regimented protocols and procedures for countless regulated tasks and roles. Failure by employees to comply with the requirements of any of a variety of laws and standards relating to the industry can result in fines or worse.


VinciWorks’ FCA training courses are designed to give financial firms all the resources they need to ensure that staff is trained and prepared with everything they need to comply with the FCA’s demands.

Our suite of FCA compliance courses

Consumer Duty

Explains the FCA's Consumer Duty and what firms must do to implement it.

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FCA Safeguarding

Explains the safeguarding procedures that payment service providers must perform under FCA requirements.

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SMCR

Provides familiarity with the conduct rules that all financial services staff must follow, as well as the Senior Managers and Certification Regime required of senior staff members.

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FCA Complaint Handling

Training for all staff to recognise, respond to and track regulated complaints about financial services.

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Vulnerable Customers in Financial Services

Two interactive courses to give your staff the tools to spot the signs and characteristics of vulnerability in specific target markets and provide appropriate care to vulnerable customers.

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Vulnerable Customers Knowledge Check

A short course that tests users’ knowledge of how to identify and treat vulnerable customers, and best practice with vulnerable customers.

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  • Identify and respond to customer complaints properly
  • Identify vulnerable customers and provide appropriate levels of assistance
  • Learn the FCA’s five Conduct Rules and their applications
  • Understand the increased level of responsibility required of senior managers
  • Learn to navigate challenges of sales and customer support specific to the financial sector
  • Simulate real-world situations with interactive scenarios

What is the FCA?

The (FCA) is the main financial regulatory body in the United Kingdom, monitoring conduct at more than 50,000 financial services firms to ensure consumers get honest, fair and effective service.

Why is FCA training important?

The proper working of financial markets plays a critical role in the lives of everyone in the UK, from children’s ISAs to pensions, direct debits to credit cards, loans to investments. The FCA requires firms to continuously demonstrate that they meet a number of requirements in order to operate in these fields. If firms or individual staff members fail to meet these standards, the consequences can be dire. Our training suite provides firms with the tools to make sure employees know everything they need to excel in their fields.

The FCA reporting solution

Our FCA reporting solution allows compliance staff to gather all data and supporting documents in one centralised system. Automation tools allow you to set reporting reminders and automatic flagging helps you spot problems as they arise. All of our forms, dashboards and workflows are fully customisable and our system is so easy to use, you can implement it without the need for an IT department.