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How to create engaging compliance training


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In a time when compliance regulations are becoming more and more nuanced, knowledge testing isn’t enough. Risk and Compliance teams must now focus on and demonstrate the impact of their training on the behaviour of their employees – and learner engagement is essential.

These slides are from a webinar held on 8th August 2019, with Eukleia’s Consulting Lead, Patrick Thomas, and LEO Learning’s Principal Learning Consultant, Kath Fleet, who explored how to build engaging compliance training that focuses on behaviours first, with measurement in mind. They looked at techniques that enable you to prove the impact of your training on the culture of the organisation and the front-line behaviours that result from this.

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How to create engaging compliance training

  1. 1. Patrick Thomas, Consulting Lead, LEO Learning & Eukleia Kath Fleet, Learning Consultant, LEO Learning How to create engaging compliance training
  2. 2. Introductions Patrick Thomas Consulting Lead Kath Fleet Learning Consultant
  3. 3. How do we design for engagement? What do we mean by behavioural design?
  4. 4. What do we want to achieve?
  5. 5. Do you currently create personalised learner journeys through your compliance courses? ❏ Yes ❏ No Polling question
  6. 6. Getting to the HEART: Personalisation
  7. 7. By role, region or knowledge
  8. 8. By performance
  9. 9. Getting to the HEART: Storytelling
  10. 10. With or without video
  11. 11. Teasers: Seed the story through ambient messaging
  12. 12. Do you deliver compliance training through integrated campaigns? ❏ Yes ❏ No Polling question
  13. 13. A helping HAND: Scenarios
  14. 14. MARKET CONDUCT ● Market Conduct ● Information Barriers and Confidentiality ● Competition Law PROTECTING INFORMATION ● Cyber Security ● Data Protection FIGHTING FINANCIAL CRIME ● AML and Fraud ● ABC and Tax Evasion ● Sanctions ● Conflicts of Interest ● Individual Accountability Regime ● Whistleblowing ● Code of Ethics RISK ● Operational Risk CONDUCT & ETHICS The real world: Stories that cut across content groups
  15. 15. END SCENARIO Story structure and spaced learning MARKET CONDUCT PROTECTING INFORMATION FIGHTING FINANCIAL CRIME RISK CONDUCT & ETHICS Information Barriers and Confidentiality content 1 scenario to reinforce learning Follow up scenario on Information Barriers and Confidentiality Consequences of earlier scenario decisions affect what happens in this chapter
  16. 16. Getting it into your HEAD: Spaced learning in the flow of work
  17. 17. Campaign launch in team/social space to encourage discussion & sharing Content released episodically. ‘Cliffhangers’ drive curiosity Momentum sustained through nudges and resources posted to team/social spaces
  18. 18. Knowledge elements: Brief, pragmatic, behaviour-focused
  19. 19. Getting it into your HEAD: New assessment models
  20. 20. Do you assess your learners’ confidence as well as competence? ❏ Yes ❏ No Polling question
  21. 21. Multi-dimensional assessment
  22. 22. What do we mean by designing with measurement in mind?
  23. 23. Compliance training is good for business. Let’s prove it
  24. 24. Can you confidently say that you currently measure the behavioural impact of your compliance training? ❏ Yes ❏ No Polling question
  25. 25. Building the chain of evidence Engagement Knowledge, skills & attitudes Performance Behaviours Business Change Has the learning landed? Has learning taken place? Have the performance behaviours changed? Has business performance improved? Learning delivery Learner Change and Performance Business Impact
  26. 26. Link learning design to measurement Have they learned it? What do people need to learn? Are people doing that? What do people need to do? Did they complete it? What training is required? Was the goal achieved? Business goal Learning Design Measurement
  27. 27. Questions? 33
  28. 28. Thank you Download our ebook: compliance-training/ Email us: 34
  29. 29. Sources of evidence for measurement Engagement Knowledge, skills & attitudes Performance Behaviours Business Change ● Access info ● Logins by month ● Completion rates ● Re-visits ● Time using resource ● Drop out info ● Popularity of learning pathways ● Service utilisation (externals) ● Search information / search failures ● When are no- shows occurring? ● Upfront diagnostics (including 360) ● Post intervention online assessments (immediate & after 3 months) ● Marked work (forms, reports) ● Peer assessment ● Demonstration ● Confidence measures taken after every intervention ● User surveys ● Manager surveys ● Interviews (in manageable numbers) ● Surveys of coaches and mentors ● User observation ● Service user feedback (net promoter score) ● Activity monitoring software ● Performance tracking ● Business Metrics & KPI’s ● Profitability, Growth, Productivity etc. ● Improved staff retention ● Regulator feedback ● Faster turn-around times ● Money saved by new approach ● Money saved by outcomes
  30. 30. Case study: VISA Examples of data for the digital campus
  31. 31. Case study: VISA Examples of data for the physical campus
  32. 32. Measuring curiosity and rewarding learners for their engagement Case study: Fidelity International