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Compliance training. What do you do?


Most compliance training courses in our Financial Services organisation are hosted externally. Results can be tracked, but the courses are incredibly dull and only only demonstrate an ability to regurgitate facts.  They don't test understanding and need to be far more engaging and innovative.

I've been tasked with making some of these courses more engaging whilst retaing the ability to track results. However, we don't have an LMS.

I wondered if anybody out there has already tackled this issue (which surely must be a very common one).  If so, what did you do?
Do you have any advice or experience you could share?

I have access to Captivate and Powerpoint, and through a previous career I'm also able to produce high quality media including audio / video productions and original music if necessary.

However, I'm more interested in how you spiced up your compliance training whilst retaining the ability to track results on a large scale.

Any advice? 



5 Responses

  1. Finance

    Hi Julian


    I know nothing about Finance or Financial Training but I think 2 principles apply…


    1) Make it engaging…this website has a range of very engaging content you could copy with your IT skills? Cartoon is a very powerful media for training. Check out the cartoon safety brief on Virgin Atlantic…everybody watches it, unlike the dreary stuff they used to have.

    2) Where possible, link to an emotion…the consequences of getting compliance right must have an emotional link somewhere down the line? 

    (Little old lady’s losing their pensions maybe?…or is that too cruel!??)





  2. Tracking? and what about assessment time gap?

    The cartoon stuff looks interesting, though we’re running a very old Flash player on tightly controlled IT infrastructure so I can’t see them at the moment.   Will check them out later, thanks!
    I’m more concerned about how the completion and scoring would be tracked ?

    On a related note, what’s the current thinking around how long you should leave between content and assement?  A couple of hours?  A couple of days?  A couple of weeks?




  3. Compliance training is like any other subject in one way

    Effective compliance training is dependent on the same thing as any other training which is that you have to get the attendees to generate sufficient motivation for them to want to learn and apply the knowledge / skills you are covering.

    So in this sense it is the same as all other subjects. It is different in that it may be seen as a harder subject to get people to generate motivatino for?
    It is difficult but not impossible. For two years I taught FPC 1 which included a lot of regulations, compliance and taxation! From a school intake of about 300 students my class of 24 enjoyed a retention rate of 100% against the average of 67% and a success rate of 96% at the first attempt and 100% after second attempt against the average of 73% and 95%.
    These results came about through the use of identifying ways in which to get the attendees in my class to find personal motivation to learn something dry and uninteresting content.
    Each module had a different take/angle. For the regulations sections I got the students to represent various groups that had suffered at the hands of unscrupulous financial services firms using vido programming from TV and then they had to identify how the new regulations could prevent this happening again or if there were loopholes. 
    For The tax sections I got everyone to do a tax return and then assess someone elses to see if they could identify any tax savings and many did!
    For the compliance section I got a friendly detective from the police to come along with a uniformed colleague and arrest one of the students (who had agreed to this) but it was unknown to the rest. They went out of the classroom for ten minutes then came back and explained how this could be a reality for some if they dismissed  or were ignorant of the rules. 
    All I had to do then was to ask the class to read the compliance section and identify ways they could apply this themselves or in their departments and it was a great success.
    There is no down side to this format although it does take a lot of planning and effort by the trainer. It took me several months to acquire the right to show a particular video made by Granada about a pensions scam and yet more months to find and get agreement from the police to carry out a mock arrest.
  4. e-learning

    I’m afraid classroom delivery will not be possible. The spread of delegates and cast numbers involved makes e-learning the only
    practical solution.

  5. E learnign is not a block to motivating the learner

    Hi Julian, I did not get the fact that you were talking about e-learning only. I am still unsure why you cannot also use telephone/webex technology to build a more personal link between tutor and learners and enable live feedback and checking of understanding? I work in a global company wherer this is a main route for training, often involving people from many countrries attending a session. An effective telephone session which a lot more planning and time to deliever does provide opportunities for the sort of learner interaction I have been describing.          

    Even if you are only using e-learning many of the ideas I have suggested will work with good design. The trick is to get the learner to become more active with the material. I managed a wonderful team of distance learning programmers / designers in the 90’s and they produced many award winning module accessed on-line which  covered technical, regulatory and legislative subjects in the financial world. 
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