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Main line 020 7965 4657

Development of Regulatory Learning and Assessment Frameworks - Global Bank

Broadgate Partners were hired to produce a comprehensive data-lead training needs analysis to identify specific capital markets training requirements in 2024 and 2025.

  • Conducted analysis on internal reports and external regulatory horizon scanning to identify key requirements and future regulatory changes which may impact conduct and compliance training
  • Developed Markets training plan for 2024 and 2025, consulting with global stakeholders and SMEs to obtain agreement. Considered learning load, duplication in content and identifying areas where smarter solutions could be utilised to provide colleagues with the most suitable offering for conduct and compliance training
  • Presented findings in TNA to the working group and Mandatory Learning Governance Forum, explaining rationale for the proposals included and provided the opportunity for feedback/challenges to be raised and discussed to gain agreement
  • Consulted with SMEs globally to ensure all regional requirements were represented in training content, worked through challenges and offered solutions to accommodate specific training needs
  • Partnered with conduct and compliance SMEs to create engaging and values-lead learning, integrating key tone from the top messaging and focused on behaviour change
  • Reflected continuous improvement by identifying and agreeing with SMEs enhancements to existing training modules to ensure improved learning outcomes are achievable
  • Supported development of an industry standard assessment framework and question writing guide and worked with SMEs to develop robust assessment questions relating to the key risks in the learning topic
  • Lead the development of a comprehensive governance forum, collaborating with Group Learning & Development to ensure applicability across the Group. The form can be utilised by all business areas, to identify suitable and measurable learning outcomes, confirming correct audiences have been detected and to provide a full audit trail of decisions and sign-off during the content gathering and development phase
  • Cross-trained in assessment data analytics with the ability to analyse and interpret data to drive informed uplifts to training content, assessment, delivery methods and obtain improve outcomes and meet learning objectives
  • Presented uplift achieved, creating interactive content, robust assessment and comprehensive governance of the Department of Justice Reporting Obligations module to Monitor Representatives

Meet the team

Malcome Clark

Malcolm Clark

Director and co-owner
Malcolm has over 35 years of financial services recruitment and management consulting experience. After graduating from the University of Exeter in 1989, he initially worked in the accountancy and media sectors before moving into the recruitment industry in the early 1990s. As an investment banking operations and change management specialist, he has worked with some of the world’s leading financial services institutions across the globe. Malcolm moved into management consulting in 2013.
Martin

Martin Perkins

Director and co-owner
Martin has over 35 years financial services logistics experience with 21 of those years spent in investment banking operations. The majority of his career was spent at UBS, where as a Director, he managed a number of departments including: Cash Management, Equity Derivatives Middle Office and Settlements, OTC Equity Control, BAU Process Change, Credit Derivatives Settlements and the cross-asset class ISDA OTC Documentation area. Martin moved into financial services recruitment in 2006 and management consulting in 2013.
Julian Crow

Julian Crow

Director
Julian has over 30 years of financial services recruitment and management consulting experience. After graduating from the Newcastle Business School in 1994, Julian initially worked in the FMCG sector before moving into the recruitment industry in 1996. As an investment banking, asset management, finance and change management specialist, he has worked with some of the world’s leading financial services institutions in the UK, US and Asia. Julian moved into management consulting in 2013.