Operating across commercial, international and private banking sectors, the client faced the critical task of strengthening controls around insider trading risks. They had already established a Control Room infrastructure, complete with personnel, tools, access controls and surveillance systems designed to protect sensitive client and deal information. However, they needed expert support to design and implement a compliance training curriculum that aligned with evolving regulatory requirements, particularly under the NMPI (Non-Market Public Information) and MAR (Market Abuse Regulation) frameworks. Prior to engaging us, the bank’s training efforts were fragmented, inconsistent and did not fully meet regulatory expectations.
We deployed a specialized instructional design consultant who conducted a comprehensive needs assessment to identify gaps in the current training environment. After collaborating closely with subject matter experts and external advisors from a Big Four consulting firm, the consultant designed and built an end-to-end compliance training program. The training content was created from scratch, ensuring alignment with regulatory expectations and the bank’s internal standards for user experience and accessibility.
Beyond the NMPI/MAR training initiative, our consultant also led efforts to standardize privacy and annual compliance training programs. This included migrating content developed by various vendors into a single, cohesive format that adhered to the bank’s template standards. In doing so, the consultant streamlined and simplified multiple courses to improve learner engagement without sacrificing essential compliance messaging.
The engagement resulted in the successful launch of a regulatory-compliant NMPI/MAR Control Room training program. The updated framework delivered consistency, clarity and accessibility across compliance training modules, strengthening the organization’s overall approach to insider trading risk management. The work also laid the foundation for future enhancements in compliance education, ensuring the bank is well-positioned to meet ongoing regulatory demands.