Training Evaluation Form and Development Log | Employee Assessment Papers and Structure | Mortgage Conduct of Business MCOB | Template for FCA Applications and Authorised Firms

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Training Evaluation Form

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 [We have included a template for this document in 03_Employee_Training_Induction]

15.2.2 Training & Development Log

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 [We have included a template for this document in 03_Employee_Training_Induction]

15.2.3 Employee Training Record

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 [We have included a template for this document in 03_Employee_Training_Induction]

15.3 Employee Assessment Papers

Alongside the company robust compliance training programme, we also utilise employee assessment quiz and answer papers to test, review and improve our staff’s knowledge and understanding of the key regulatory areas.

We understand that testing, assessing and training employees in the regulatory compliance rules and standards is an essential business practice to help us ensure compliance, evidence competency and support our staff in their individual roles. It is also imperative to ensure that our customers are communicating with knowledgeable and competent people when seeking the services, products and/or advice that we provide.

Through the testing of knowledge in specific compliance and regulatory areas, we are better able to identify gaps, assess areas of weakness or misunderstanding and provide dedicated support to our employees, who we recognize as the front-line to customers and a maintaining a compliant environment. The test papers that we utilise, offer beginner, intermediate and advanced style questions on the specific compliance areas and provide our trainers and managers with the tools and knowledge to assess and evidence staff knowledge and performance.

15.3.1 Assessment Structure

Using compliant and detailed answers sheets, we can teach our employees as well as testing them. This enables us to easily identify gaps in employee knowledge and offer a high level of staff support.

Assessments are an ongoing function of our organisation and are used: –

• After the delivery of induction periods and starter training
• After training sessions and workshops on key compliance areas
• On a rolling basis to ensure and review staff knowledge and competency
• After periods of prolonged absence, leave and/or role change