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Ask The Expert: Compliance Training

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What's the most effective way to deliver compliance training, and how can you be sure that the staff retain the information? Mike Ditchburn offers his opinion.


The question
! am looking to implement a process where key compliance training courses (DPA, AML, etc) are attended by new starters within their first month and then they complete a subsequent assessment every 12 months on the anniversary of them joining. However, I am unable to decide whether to develop new classroom based training to replace the dry compliance presentations currently in place or to use a customised CBT package. 

Whilst I believe the initial knowledge transfer could be better served by a classroom session, a lot of the information is very generic and won't be used from day-to-day. I am therefore led to think that the knowledge will probably be lost over a 12 month period anyway. So does the initial training method really matter or is it more important to ensure that the information is centrally stored and easily accessible should they need to access it?

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Mike Ditchburn MD of Bourne Training replies:
You are right to consider the longer-term issues surrounding compliance training, rather than just considering the initial induction requirement. This consideration also has a bearing on the initial delivery and whether classroom training is the most effective delivery mechanism.

Arguably, well-designed bespoke e-learning is just as effective for this type of knowledge-based requirement as classroom training. e-Learning would address your ongoing requirements through a range of methods. A carefully constructed e-learning course would enable you to use the same content for the initial training and abridged annual refresher training, making development more cost-effective.

Selection of the required course (the full induction course or abridged refresher training) can take different formats:

  • Through different items on a course menu.

  • After completing a pre-assessment each time the course is accessed – this can direct the user to the relevant topics to study.

  • Through the user login - via an intelligent system which knows if and when the user has undertaken the course and/or passed the assessment.

  • Assessment is clearly important and a well structured random question bank can be utilised across your business on an ongoing basis.

  • Tracking of competency through a learning management system – a system to collect basic information needn’t cost a fortune and you might already have an LMS.

You could even choose a hybrid classroom/e-learning approach for induction training and then e-learning for the annual refresher requirement.


* Mike Ditchburn is Managing Director of Bourne Training - Part of the REDTRAY Group. He has worked as a training and development professional for 15 years and held senior training management positions in the financial services sector and pharmaceutical industry. He is an associate of the Chartered Institute of Bankers and a member of the British Learning Association Quality Forum.

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