Compliance Reporting - A Bite-Sized Guide for FCA Authorised Firms

Introduction

At the heart of a compliance function are the twin purposes of ‘advise and assist’, along with ‘monitor and assess’.

To fulfil our responsibilities, we need to communicate what we have found while monitoring, in a way that helps the reader recognise the gap between where they currently are - and where they need to be.

With the volume of reporting and data to consider within regulated firms, compliance reports need to effectively inform the reader of what has been reviewed, what has been found, why any gaps are important and what the next steps need to be.

Rather than focus solely on how to write the report, this short webinar looks at how to position and deliver the report to gain maximum traction and impact within the business.

The webinar will consider how to structure a report, but also how to improve the likelihood of landing your message effectively and drive relevant and value-adding change within the business.

It is suitable for all business control, risk, and compliance personnel involved in writing, reviewing, or issuing reports.

What You Will Learn

This short webinar will cover the following:

• UK regulatory expectations
• Reporting alongside SMCR - the senior manager’s best friend
• The report:
• Executive summary
• Scope
• Style
• Writing for the reader
• Findings and priorities
• Business-identified issues
• ‘Closing the sale’ - gaining agreement to act
• Verification of progress and escalation of non-delivery

This pre-recorded webinar will be available to view from Tuesday 15th July 2025

Alternatively, you can gain access to this webinar and 1,700+ others via the MBL Webinar Subscription. Please email webinarsubscription@mblseminars.com for more details.