Training and Competence Regime
A professionally drafted Training and Competence Regime for banks, deposit-taking institutions and finance companies, covering compliance obligations management and assurance. Global edition — written to international standards (Basel Committee, FATF, ISO, COSO, NIST and FSB) and deliberately jurisdiction-neutral, with bracketed prompts marking the points where your local law or regulator's requirements must be inserted. Supplied as a fully editable Microsoft Word document, de-identified and ready to adapt to your organisation. Typical owner: Chief Compliance Officer; approval: Board of Directors.
| Typical owner | Chief Compliance Officer |
|---|---|
| Typical approval | Board of Directors |
| Length | ~8,313 words (approx. 21 pages) |
| Last reviewed | July 2026 — verify currency for your circumstances before use |
| Format | Microsoft Word (.docx), fully editable |
| Delivery | Instant download after purchase; re-download any time from your account |
| Licence | Single-organisation licence |
| Guarantee | Materially defective or misdescribed? We'll resupply, replace or refund within 30 days — see Terms |
Preview the first 6 pages (PDF) See the real cover, document control page and opening sections before you buy.
What's inside
- Contents
- 1. Purpose
- 2. Scope
- 3. Definitions
- 4. Regulatory Framework
- 5. Policy Statement and Principles
- 6. Governance of Training and Competence
- 7. Induction and Onboarding Training
- 8. Annual Mandatory Training Curriculum
- 9. Role-Based Competence and Capability Frameworks
- 10. Completion Tracking, Escalation and Consequence Management
- 11. Training Effectiveness Evaluation
- 12. Records, Registers and Retention
- 13. Roles and Responsibilities
- 14. Reporting and Escalation
- 15. Breaches of this Policy
- 16. Review of this Policy
- Appendix A: Annual Training Plan — Required Contents
- Appendix B: Training Register — Minimum Fields
- Appendix C: International Anchors and Local-Law Mapping
- Policy Administration