Developing Compliance Writing Skills Course

The Compliance / AML unit is a key control function within regulated financial institutions, and it is of critical importance that Compliance and AML Officers can demonstrate they have the key skills required to do the job properly, including appropriate written skills.

This workshop-style programme will provide participants with the opportunity to review common forms of written Compliance reports and develop their own written skills.  It is highly interactive with group and individual exercises designed to allow participants to apply what they have learnt and acquire practical skills which they can implement afterwards.

Training Objectives

At the end of this course, attendees will:

• be familiar with the most common forms of Compliance reports
• understand the regulatory requirements as well as best practice regarding the structure and content of Compliance reports
• discuss the importance of considering the recipient
• know how to plan, organise and structure their reports
• be able to write in an appropriate tone of voice for the report and for their firm
• understand how to use visuals effectively
• know how to check for factual errors as well as incorrect grammar and punctuation
• be familiar with the use and format of executive summaries, recommendations and conclusions
• practice writing an external Suspicious Activity Report (SAR)
• have improved their writing skills

Training Outline

Introduction to Compliance Report Writing:

• Regulatory requirements
• Best practice

Compliance Reports

• The importance, format and contents of:
  • Policies and procedures
  • Compliance monitoring programme reports
  • MLRO reports
  • Suspicious activity reports

Developing Compliance Writing Skills

• Identifying the recipients
• Planning
• Layout and structure
• Style, tone and flow
• Using visuals
• Executive summaries, recommendations and conclusions
• Editing