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Fide Consulting
All Levels

Introduction to Regulatory Consulting

Engagement planning · Engagement lifecycle · Understanding business models · Walkthroughs and documentation · Substantive testing · Reporting

1 hr 12 min40 lessons across 11 modules

£479.99

One-time payment · Lifetime access

  • Full video & reading content
  • Knowledge quizzes per module
  • Completion certificate (PDF)
  • Lifetime access + free updates
  • Learn at your own pace

What you'll learn

Explain the purpose of financial services regulation and the UK regulatory landscape.
Describe regulatory consulting and the end-to-end engagement lifecycle.
Key engagement types, outputs and levels of assurance.
Assessing a client’s business, controls and significant risks with professional scepticism.
Defining the scope, approach and documentation, then report clear, evidence-based conclusions.

Course content

11 modules · 40 lessons · 1 hr 12 min

  • Introduction to Regulatory ConsultingFree preview
    0:30
  • Course ObjectivesFree preview
    0:43

About this course

Provide students with a clear understanding of how regulatory consulting engagements are delivered end to end, and the commercial judgement required to operate effectively within the UK regulatory landscape. Enable students to translate regulatory expectations into practical, risk-based solutions that protect consumers, strengthen market integrity, and support organisational objectives.

About the instructor

Rose is a CASS specialist with over ten years' experience in CASS compliance and regulatory advisory. She has worked at JP Morgan within the CASS Governance and Oversight team, supporting multiple lines of business across Markets, Securities Services and Banking functions. She has demonstrable leadership in the execution and delivery of complex CASS audit and advisory engagements, including s166 projects for global custodians with the EY CASS team. She brings a wealth of experience to a broad spectrum of clients.

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