G11 - Training & Competence Policy Template
Length: 38 Pages
Applies to: All regulated firm types
Fully Customisable Training & Competence Policy Template
This fully editable Word template helps firms meet FCA requirements under the TC Sourcebook, SM&CR, FIT, and Consumer Duty by ensuring regulated staff are trained, competent, and continuously developing.
It covers the full T&C lifecycle—competence assessment, recruitment, onboarding, CPD tracking, supervision, and performance reviews. Role-specific pathways and CPD expectations are included, with audit-ready processes for measuring competence.
Compliance, HR, and line manager responsibilities are clearly defined, alongside procedures for addressing skill gaps, remedial training, and disciplinary steps. Built-in tools support FCA audits, KPI tracking, and training effectiveness.
The template includes supervision ratios, competence frameworks, and examples for advisers, brokers, and compliance officers—making policy implementation practical and measurable.
Ideal for financial services firms, HR leaders, and compliance teams. Created by FCA experts, it’s ready to download, fully editable, and saves time while boosting regulatory readiness.
Length: 38 Pages
Applies to: All regulated firm types
Fully Customisable Training & Competence Policy Template
This fully editable Word template helps firms meet FCA requirements under the TC Sourcebook, SM&CR, FIT, and Consumer Duty by ensuring regulated staff are trained, competent, and continuously developing.
It covers the full T&C lifecycle—competence assessment, recruitment, onboarding, CPD tracking, supervision, and performance reviews. Role-specific pathways and CPD expectations are included, with audit-ready processes for measuring competence.
Compliance, HR, and line manager responsibilities are clearly defined, alongside procedures for addressing skill gaps, remedial training, and disciplinary steps. Built-in tools support FCA audits, KPI tracking, and training effectiveness.
The template includes supervision ratios, competence frameworks, and examples for advisers, brokers, and compliance officers—making policy implementation practical and measurable.
Ideal for financial services firms, HR leaders, and compliance teams. Created by FCA experts, it’s ready to download, fully editable, and saves time while boosting regulatory readiness.
Length: 38 Pages
Applies to: All regulated firm types
Fully Customisable Training & Competence Policy Template
This fully editable Word template helps firms meet FCA requirements under the TC Sourcebook, SM&CR, FIT, and Consumer Duty by ensuring regulated staff are trained, competent, and continuously developing.
It covers the full T&C lifecycle—competence assessment, recruitment, onboarding, CPD tracking, supervision, and performance reviews. Role-specific pathways and CPD expectations are included, with audit-ready processes for measuring competence.
Compliance, HR, and line manager responsibilities are clearly defined, alongside procedures for addressing skill gaps, remedial training, and disciplinary steps. Built-in tools support FCA audits, KPI tracking, and training effectiveness.
The template includes supervision ratios, competence frameworks, and examples for advisers, brokers, and compliance officers—making policy implementation practical and measurable.
Ideal for financial services firms, HR leaders, and compliance teams. Created by FCA experts, it’s ready to download, fully editable, and saves time while boosting regulatory readiness.