Skills Workshops

Quicklinks

Compliance Oversight Supervisor Skills Advice Process: Mortgage And Protection Principal's Vulnerable Customers Advice Process: Investment & Pensions Advice Process for Inexperienced Advisors Protection Sales And Compliant Advice Complaints Pension Transfers

Skills Workshop

Compliance Oversight And Money Laundering Officer Roles

This virtual classroom is designed as an introduction to the control function roles of Compliance Oversight (SMF16) and Money Laundering Reporting Officer (SMF17). 

Hosted by our National Learning Manager, this 3.5 hour event will focus on the legislation and expectation of each of these management functions. Book your free place and learn the necessary skills to carry out your new responsibilities with confidence and to a high standard including practical takeaways for you to implement in your firm.

Supervisor Skills: Developing Yourselves & Others

Has your career developed to include responsibility for the training and oversight of others? 

The course is designed to give you the skills and tools you need to thrive in your role as a supervisor, and to help get the most out of those around you. Designed to explore what your direct reports need from you and to enhance your core skills in delivering this support, delivering feedback effectively, undertaking 121's which are proven to enhance performance and employee engagement.

Advice Process and Compliant Files: Mortgage And Protection

Here’s a chance for experienced advisers to join us for a refresher session on the advice process.

This event is built to refocus you on the best practice principles of advice and your own procedures and is particularly helpful for those looking to extend their advice portfolio into new product areas, giving you an insight into the findings of advice file reviews; or even if your simply wanting to enhance your own methodology and approach within your customers

Principal's Roles And Responsibilities

As a principal, your role incudes significant obligations to the regulator, especially with the arrival of the Senior Manages & Certification Regime. (SM&CR). This virtual learning event is designed to give you a clear definition of the Principal Role, and to support your understanding of regulatory responsibilities in the directly authorised market.

Vulnerable Customers

Enhance your ability to identify Vulnerable Customers, the support they may require and how to record this in your advice file. This half-day interactive training event will provide case studies and practical advice you can take forward into you own procedures. 

Advice Process And Compliant Files: Investment & Pensions

If you’re an experienced Investment or Pension adviser looking to revisit the advice process and refresh your existing practices, don't miss this virtual classroom.

This course will give you an insight into the findings of advice file reviews and support you in enhancing your own methodology and approach with your customers. By the end of the event you will be able to discuss the key issues discovered by Bankhall’s file checking teams in relation to Investment and Pension advice areas while enhancing your own capability to construct advice files.

Advice Process for Inexperienced Advisors

An introduction to the advice process which is aimed at inexperienced advisers. This virtual classroom learning event designed to support the internal induction programme/period within your firm. You may be considering a move from admin or para-planning to that of an adviser, you may be at the cusp or your career as a financial adviser within your first year who wants to revisit the best practice expectations of the advice process.

Protection Sales And Compliant Advice

Protection is a key element of providing holistic advice and ensuring financial wellbeing of your customers, so how can you better ensure more of your customers are protected? Join Bankhall in this virtual classroom to focus on developing and enhancing your approach to ensure effective protection conversations. This course will help support you in educating your customers on their need for protection so that you can give them, and yourself, peace of mind that your customers are covered in the event of adverse circumstances. Together, we will review the requirements needed to construct a compliant file, and will consider the deficiencies identified by file reviews and how you can address them through the effective management and illustration of customer information - including the undertaking of a comprehensive needs analysis.

Complaints

An overview of complaint handling, incorporationg rules, regulations, current trends and culture. An overview of the Financial Ombusdman Service and how FOS learning will assis with your complaint handling. An assessment of the customer journey and how the FCA's current focus can be incorporated into your job role.

Pension Transfers

Pension Transfer advice is continuing to be under the spotlight as a result of changing exectations or practices. Book your free place on Bankhalls Pension Transfer Virtual Classroom to get a firmer understanding of how to deliver compliant advise in this complex area. Across the market, retrospective reviews of pension transfer files are indicating quality queries that present questions over advice suitability in pension transfers. To support you in delivering the best possible advice for your area, join us on a virtual classroom, which has been designed to support you to review your customers files, as well as give you the tools and information that you need to ensure compliant advice practices in the future.