Introduction to Compliance - Searchlight Insurance Training

Introduction to Compliance

… an introduction to regulatory compliance in insurance and financial services

To a lot of business people regulatory compliance can appear if not daunting, then rather dreary and unexciting. As a result, responsibility for Compliance is often perceived as being the exclusive responsibility of certain individuals within the organisation who are to be kept at arm’s length from the day to day running of the business. To many, compliance is an additional chore which struggles for airtime in an already highly pressured working environment. Nothing could be further from the truth.

This half-day workshop ‘lifts the lid’ on compliance and, in plain terms, examines what it means and the vital role it should play in helping to ensure that businesses are run ethically and responsibly, promoting a culture that places customers at the heart of business decision making and operational practices. It will explore the intrinsic business benefits that can be gained from business-wide engagement with the subject through a general acknowledgement that compliance is the responsibility of everyone in the organisation.

Who Should Attend?

  • Executive and non-executive directors
  • Company Secretarial staff
  • Compliance staff new to the role
  • Operational managers


Duration: 0.5 day(s) CII CPD Hours: 3


By the end of this workshop, delegates will be able to:

  • Appreciate the regulatory environment and its impact on business
  • Recognise how compliance can and should affect the way business is conducted
  • Understand key areas of regulatory interest and concern
  • Understand the importance of accurate record keeping
  • Examine the way regulators work
  • Understand the implications of non-compliance


  • The background to today’s regulation of financial services
  • The main stakeholders involved in effective compliance arrangements
  • Roles and responsibilities of the compliance function
  • The importance of systems and controls and the form these may take
  • Monitoring performance and record keeping
  • Non-compliance and its implications