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Activities for Compliance Consultant workshop


I’m designing a two day course for Compliance Consultants who assess the work of Financial Advisers. The workshops will cover:

1. How to supervise Financial Advisers and ensure they comply with government legislation
2. How to contact clients by phone to get their feedback about Financial Advisers
3. The Mutual Funds sales process
4. The disciplinary process for FA’s who fail to comply

Does anyone have any tips on making this kind of training fun and interactive? There’s a lot of information to convey via PowerPoint, so I want to add in some activities that will get the group talking and working together. Your advice would be greatly appreciated!


alex reeve

2 Responses

  1. Compliance
    Hi Alex

    Sounds like fun(!), Have you thought of cutting powerpoint down or even out?

    Also, I’d consider how these guys learn, I have been involved in training compliance issues in the past, and at the time, I failed to realise that whereas I, a team leader/salesman/trainer am an out and out activist/pragmatist, these guys were almost all reflectors.

    Once I realised this, I restructed the training to apply more to a reflective learning style. The training went down very well. Was it fun? God no! But they seemed to like it, training doesn’t have to be fun to be effective and the emphasis should be on the learners rather than what we as trainers perceive as “fun”.

    With regards to interaction, just do the simple facilitation things such as ask questions, draw on experience in the room, try to find rapport and humour in everything you do and above all, enjoy yourself!

    Hope this helps Alex, I know how daunting these sessions can be, but they are manageable, even enjoyable if you try really hard!

    All the best

    Rich Lucas

  2. Cut the Powerpoint
    Hi Alex
    I would also agree that cutting out the powerpoint is a good first step. I also have to deliver some procedural training and I tend to put the information into handout format and then get the delegates to read and analyse the material against some very short case studies.
    I also use devices such as scripted scenairos for the group to analyse and improve rather than role plays which most people hate doing.
    Get them to reflect on their common sense response and then compare to the requirements so that you and them can assess the current position.
    Hope this helps


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