UK Finance Compliance Essentials Training

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Additional languages available
Meets accessibility standards
Auto-save training, mobile-friendly
Deliver on Ethena or your LMS (SCORM)

Course Summary

The UK’s financial regulators expect everyone in the industry to act with integrity. This Ethena course gives new and existing staff the FCA conduct, financial crime, and anti-bribery essentials they need to do the right thing.

Why ethics and FCA compliance matter
Your conduct and market obligations
Spotting and reporting financial crime
Managing conflicts, bribery, and confidential data

Included Modules:

Why Ethics and Compliance Matter in Finance

Explains why ethical conduct and FCA compliance protect customers, markets, and your firm, and why regulators expect integrity to guide every decision you make.

Your Personal and Market Conduct Obligations

Covers the FCA Conduct Rules and market abuse regime, setting out the personal standards of behaviour expected of you under the UK regulatory framework.

Your Role in Combating Financial Crime

Outlines your duties under the UK money laundering rules and Proceeds of Crime Act, including spotting suspicious activity and reporting concerns promptly.

Handling Confidential Information Responsibly

Shows how to protect client and firm confidential information under UK data protection and FCA rules, and avoid the misuse of inside information.

Your Obligations Around Conflicts of Interest

Explains how the FCA expects firms and individuals to identify, manage, and disclose conflicts of interest fairly to protect clients and market integrity.

Recognizing and Avoiding Bribery and Corruption

Introduces the UK Bribery Act and how to recognise and avoid bribery, corruption, and improper gifts or hospitality in your day-to-day work.

Why is this training important for workplaces?

Financial services in the UK run on strict regulatory expectations, and the people working in them are the first line of defence against things like financial crime, money laundering, market abuse, and mishandled customer data. When teams don’t understand these rules, the firm risks regulatory penalties, reputational damage, and real harm to the customers who trust it. This training gives employees the practical knowledge to spot red flags, treat customers fairly, and keep the business on the right side of its compliance obligations.

"Ethena helped us embed clear standards directly into how we operate and grow. That's what designing for trust at scale actually looks like."

Jacob Leon Beier Chief Compliance Officer & Counsel, TriMark USA

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Darryl Cyphers, Jr. Senior Director of Legal Compliance, Klaviyo

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Giovanna Travieso Lead-People Experiences & Growth, Magic Leap