Governance & Compliance

Regulatory Reporting and Supervisory Relations

Regulated firms must submit accurate reports and maintain constructive relationships with supervisors. This course covers regulatory reporting processes, data governance and controls, reconciliation and validation, handling supervisory reviews and inspections, responding to information requests, remediation and building trust with regulators.

5 days Classroom or live online English

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Take the course details with you.

Download the full standard outline: why attend, methodology, objectives, audience, competencies, the daily outline and current plans.

Download course PDF

Why attend

From knowledge to real-world impact.

Reporting errors and poor relationships with regulators attract scrutiny and penalties. You will learn to manage both with confidence.

Workplace challenges

Professional Problems This Course Is Designed to Solve

The programme explores practical approaches to the following challenges. Results depend on how the learning is applied in your organisation.

Difficulty translating subject knowledge into practical workplace decisions.
Inconsistent approaches to the activities covered in the course outline.
Lack of a structured plan for applying and reviewing new skills.

Course methodology

How you will learn.

Process design exercises, inspection simulations, case studies and communication role plays.

Course objectives

What you'll take away.

By the end of this course, participants will be able to:

Understand regulatory reporting obligations
Design reporting processes and controls
Ensure data quality and reconciliation
Prepare for supervisory reviews and inspections
Respond to regulator requests effectively
Manage remediation and build trust

Target audience

Who should attend.

This course is suitable for:

Regulatory reporting staff
Compliance officers
Finance and risk professionals
Regulatory affairs managers
Senior managers in regulated firms

Target competencies

Capabilities you will build.

Participants will develop competencies in:

Reporting process design
Data quality
Inspection readiness
Regulator communication
Remediation management

Course outline

Your learning journey.

A focused, practical outline with time to explore, apply and reflect.

Day 1Regulatory Reporting

09:00–10:08Obligations
10:08–11:00Reporting calendars
11:00–11:30Coffee break
11:30–11:45Reporting calendars (continued)
11:45–12:53Ownership
12:53–14:00Exercise

Day 2Processes and Controls

09:00–10:08Data lineage
10:08–11:00Validation
11:00–11:30Coffee break
11:30–11:45Validation (continued)
11:45–12:53Reconciliation
12:53–14:00Workshop

Day 3Supervisory Reviews

09:00–10:08Inspection process
10:08–11:00Preparation
11:00–11:30Coffee break
11:30–11:45Preparation (continued)
11:45–12:53Document requests
12:53–14:00Simulation

Day 4Communication

09:00–10:08Regulator meetings
10:08–11:00Responses
11:00–11:30Coffee break
11:30–11:45Responses (continued)
11:45–12:53Escalation
12:53–14:00Role play

Day 5Remediation

09:00–10:08Findings
10:08–11:00Action plans
11:00–11:30Coffee break
11:30–11:45Action plans (continued)
11:45–12:53Trust building
12:53–14:00Action plan

The timings provided are estimates and may vary depending on the number of participants and the discussions taking place during the sessions. They are indicative only and do not constitute a binding commitment.

Dates & venues

Find a session that works for you.

Confirmed dates accept registration requests. Tentative dates are enquiry only.

Good to know

A few things to know.

How is the course delivered?

Our classroom programmes combine facilitated discussion, case studies, exercises and reflection. The precise format will be confirmed before enrolment.

Can you deliver this programme for our team?

Yes, you can enquire about a tailored programme. Share your goals, group size and preferred dates with our learning team.

Will I receive a certificate?

Participants who complete the programme receive a Smart Horizon UK certificate of attendance. Smart Horizon UK programmes are not externally accredited and do not award a professional qualification, licence or designation. Where a course title or outline refers to a professional certification (for example, AACE International's Certified Cost Professional), the programme supports learning and preparation only; the credential itself is awarded solely by the relevant professional body under its own application and examination requirements.

What should I confirm before booking travel?

Please confirm the session, exact venue, accessibility arrangements, fees and any visa requirements with the team before arranging travel. Tentative dates are not confirmed sessions.

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