Course: Head of Compliance (Up Investments Limited)

Section outline

Select section General

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General

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- Select activity Announcements
  
  Announcements Forum
Select section Understanding P2P Lending and the Regulatory Environment

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Understanding P2P Lending and the Regulatory Environment
- Select activity 1.1 What is Peer-to-Peer Lending?
  
  1.1 What is Peer-to-Peer Lending? Lesson
  
  Students must
  
  Mark as done
- Select activity Lesson 1.2: The UK P2P Lending Market
  
  Lesson 1.2: The UK P2P Lending Market
  
  Students must
  
  Mark as done
- Select activity Regulatory Business Plan
  
  Regulatory Business Plan URL
Select section Regulatory Knowledge

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Regulatory Knowledge
- Select activity Lesson 2.1: Introduction to the Financial Conduct Authority (FCA)
  
  Lesson 2.1: Introduction to the Financial Conduct Authority (FCA)
  
  Students must
  
  Mark as done
- Select activity Lesson 2.2: Understanding the FCA's Regulatory Framework for P2P Lending
  
  Lesson 2.2: Understanding the FCA's Regulatory Framework for P2P Lending
  
  Students must
  
  Mark as done
- Select activity Understanding the regulatory framework for securities
  
  Understanding the regulatory framework for securities Lesson
- Select activity Horizon Scanning
  
  Horizon Scanning Lesson
  
  This course is designed to provide compliance professionals with the knowledge and skills required to effectively conduct FCA regulation horizon scanning. Participants will learn how to identify, assess, and prepare for regulatory changes that may impact their organisation.
Select section Compliance Expertise

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Compliance Expertise
- Select activity Key Compliance Responsibilities for a Head of Compliance in P2P Lending
  
  Key Compliance Responsibilities for a Head of Compliance in P2P Lending Lesson
  
  Students must
  
  Mark as done
- Select activity Internal Committees and Proportionate Risk Management in P2P Lending
  
  Internal Committees and Proportionate Risk Management in P2P Lending Lesson
  
  Students must
  
  Mark as done
- Select activity Training and Awareness (Culture Management)
  
  Training and Awareness (Culture Management) Lesson
  
  This lesson is designed to equip compliance professionals with the necessary knowledge and strategies to implement effective training and awareness programmes in line with FCA compliance regulations. The focus will be on fostering a strong compliance culture, maintaining the right mindset, and ensuring adherence to the Consumer Duty guidelines.
Select section Company Policies and Procedures

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Company Policies and Procedures
- Select activity Compliance Monitoring and Reporting
  
  Compliance Monitoring and Reporting Lesson
  
  Students must
  
  Mark as done
- Select activity Lesson 4.1: Overview of the firm's Policies
  
  Lesson 4.1: Overview of the firm's Policies
  
  Students must
  
  Mark as done
- Select activity 4.2 Onboarding and KYC Processes
  
  4.2 Onboarding and KYC Processes Lesson
  
  Students must
  
  Mark as done
Select section Risk Management and Internal Controls

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Risk Management and Internal Controls
- Select activity Lesson 5.1: Identifying and Assessing Risks
  
  Lesson 5.1: Identifying and Assessing Risks
  
  Students must
  
  Mark as done
- Select activity 5.2 Internal Controls
  
  5.2 Internal Controls Lesson
- Select activity Three lines of defence
  
  Three lines of defence Lesson
  
  This lesson provides compliance professionals with an in-depth understanding of the Three Lines of Defence (3LoD) model and its application in meeting FCA compliance requirements. Participants will learn how each line functions, how they interact, and how to implement an effective governance framework.
- Select activity Governance
  
  Governance Lesson
Select section GDPR

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GDPR
- Select activity GDPR Annual Training - SkillCast
  
  GDPR Annual Training - SkillCast URL
  
  Students must
  
  Mark as done
- Select activity GDPR Compliance Supplementary Training for Peer-to-Peer Lending Platforms
  
  GDPR Compliance Supplementary Training for Peer-to-Peer Lending Platforms Lesson
  
  Students must
  
  Mark as done
- Select activity Rebs Automated GDPR Systems Introduction to GDPR Individual Rights
  
  Rebs Automated GDPR Systems Introduction to GDPR Individual Rights Lesson
  
  Students must
  
  Mark as done
- Select activity GDPR Reporting and Monitoring - General
  
  GDPR Reporting and Monitoring - General Lesson
  
  Students must
  
  Mark as done
Select section AML Systems and Process

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AML Systems and Process
- Select activity AML Compliance in P2P Lending and Rebuildingsociety.com
  
  AML Compliance in P2P Lending and Rebuildingsociety.com Lesson
  
  Students must
  
  Mark as done
Select section CASS - Client Money Overview

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CASS - Client Money Overview
- Select activity Client Money Management at rebuildingsociety
  
  Client Money Management at rebuildingsociety Lesson
  
  The firm manages client money using a client account held at Barclays.
  
  The firm produces a daily reconciliation and removes any fees from the client account and revises any prudential segregation, used to offset any negative user balances.
  
  The firm maintains a breaches register.
  
  The firm works with an independent auditor TC Group. The audit year runs from March to the end of February, each year.
  
  The prescribed responsibility for client money management is (z).
  
  The firm maintains a Client Money Management Policy.
Select section Senior Managers and Certification Regime

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Senior Managers and Certification Regime
- Select activity SMCR administration dashboard
  
  SMCR administration dashboard URL
  
  The platform has a dashboard for the administration of SMCR information in accordance with the firm's policy.
- Select activity SMCR folder on SharePoint
  
  SMCR folder on SharePoint URL
  
  Contain the firm's policy in connection with SMCR.
- Select activity Complete SMCR training on SkillCast system
  
  Complete SMCR training on SkillCast system Assignment
  
  Students must
  
  Mark as done
Select section RegData

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RegData
- Select activity FIN070 - Information on Peer to Peer Agreements
  
  FIN070 - Information on Peer to Peer Agreements Lesson
- Select activity FIN069 - Financial Resources Requirements for Operators of an Electronic System in Relation to Lending
  
  FIN069 - Financial Resources Requirements for Operators of an Electronic System in Relation to Lending Lesson
- Select activity FSA029 - Balance Sheet
  
  FSA029 - Balance Sheet Lesson
- Select activity FSA030 - Profit and Loss
  
  FSA030 - Profit and Loss Lesson
- Select activity CCR006 - Consumer Credit Data: Debt Collection
  
  CCR006 - Consumer Credit Data: Debt Collection Lesson
- Select activity CCR002 - Consumer Credit Data: Volumes
  
  CCR002 - Consumer Credit Data: Volumes Lesson
- Select activity CCR-Complaints
  
  CCR-Complaints Lesson
- Select activity Complaints Return (Disp 1 Ann 1R)
  
  Complaints Return (Disp 1 Ann 1R) Lesson
- Select activity fSA039 - Client Money and Client Assets
  
  fSA039 - Client Money and Client Assets Lesson
- Select activity REP024 - Financial Promotions Aggregated BiAnnual Return
  
  REP024 - Financial Promotions Aggregated BiAnnual Return Lesson
- Select activity FIN A - Annual Report and Accounts
  
  FIN A - Annual Report and Accounts Lesson
- Select activity REP001 - Close Links Report
  
  REP001 - Close Links Report Lesson
- Select activity REP002 - Controllers Report
  
  REP002 - Controllers Report Lesson
Select section Stakeholder Engagement and Communication

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Stakeholder Engagement and Communication
- Select activity Communicating with FOS
  
  Communicating with FOS Lesson
- Select activity Communicating with the FCA
  
  Communicating with the FCA Lesson
- Select activity Stakeholder Engagement
  
  Stakeholder Engagement Lesson
Select section Reporting

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Reporting
- Select activity Board Reports and Meeting Minutes (SharePoint Link)
  
  Board Reports and Meeting Minutes (SharePoint Link) URL
- Select activity Preparing a Board Report
  
  Preparing a Board Report Lesson
  
  This lesson provides a step-by-step guide to preparing the board reports for the firm.
Select section Regulatory intervention

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Regulatory intervention
- Select activity Responding to threats of intervention or enforcement
  
  Responding to threats of intervention or enforcement Lesson
Select section Case Studies & Lessons Learned

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Case Studies & Lessons Learned
- Select activity Case Study - Comms w Clients P7
  
  Case Study - Comms w Clients P7 Lesson