How to Select Effective Compliance Monitoring Systems

In today’s regulatory landscape, ticking the box isn’t enough. Regulators like the FCA, GDPR authorities, and industry watchdogs expect businesses to have demonstrable evidence of employee training and consistent proof of compliance monitoring.

That’s where compliance training monitoring systems come in. The right system doesn’t just track who has finished a course, it provides real-time reporting, and a clear audit trail that can stand up to regulatory scrutiny.

Key takeaways

• Compliance training is more than simply a tick-box exercise; it keeps all parties protected and helps ensure business continuity in the event of an incident.
• Reliable monitoring systems and LMSs support all aspects of compliance, including reporting, audit-readiness, risk assessments and more.
• Customisable dashboards and real-time reporting help organisations monitor completion rates, identify gaps and risks, and be proactive in solving issues.

Monitoring employee compliance training

• What is a compliance training monitoring system?
• Why is compliance monitoring so critical for employee training?
• How can real-time reporting and customisable dashboards help businesses achieve compliance?
• What is a reliable system for tracking compliance with data protection and GDPR?
• Can learning management systems generate custom compliance status reports to help with FCA audits?
• How can businesses implement compliance training monitoring systems?

In this guide, we discuss how to select an effective compliance training monitoring system, what features to look for, and practical steps for integrating it into your day-to-day operations.

What is a compliance training monitoring system?

A compliance training monitoring system enables businesses and organisations to manage, track, and report on employee progress across all manner of training programmes.

These are typically a legal requirement, mandated by the industry, or related to company policies and codes of conduct. They’re formative in operating a compliant, safe, and inclusive business and workplace.

Compliance training will often include:

• GDPR & Data Protection Act 2018
• Anti-Money Laundering & Anti-Bribery
• Diversity, Equity & Inclusivity (DEI)
• Unconscious Bias
• Manual Handling & Workplace Safety
• Ethical Conduct and more

In most cases, the software integrates with a company’s existing systems for a clear, cohesive employee experience and a simpler way to conduct staff training.

Why is compliance monitoring so critical for staff training?

Tracking staff training is an essential task for any compliant business. Not only does it provide employees and teams with a clear directive, but it ensures business continuity should an incident occur through verifiable reporting.

Without monitoring, organisations cannot categorically guarantee employees are receiving the necessary learning, and completing the courses. And, that they can apply what’s required by regional law, regulators, or internal policies.

Compliance training monitoring:

• Informs employees of regulations, policies and ethical standards.
• Reduces the legal and financial risks associated with non-compliance.
• Sets and maintains expectations across the whole organisation.
• Simplifies potential audit preparation with clear and reliable reporting.
• Supports a culture of accountability and transparency.

Compliance monitoring systems also provide a level of consistency across the workforce. All employees – regardless of seniority, department or location – receive the same baseline of critical knowledge, and systems enable standardised training updates when laws, regulations, or company policies change.

Having a good system in place also reduces knowledge gaps, subsequently reducing risk around liability and ‘unequal’ compliance.

How can real-time reporting and customisable dashboards help businesses monitor completion rates?

Real-time reporting and customisable dashboards offer clear insights and immediate visibility into compliance training progress – providing actionable data for businesses.

With customisable dashboards, insights can be collected in a clear, digestible way which suits different roles and priorities within a business. Executives can see company-wide compliance training rates, while managers can hone in on their teams. This enables early intervention and proactivity.

What is a reliable system for tracking compliance with data protection and GDPR?

Typically, the strongest compliance training monitoring systems cover both training and real-time analytics. Businesses looking to reliably track compliance and ensure adherence to regulations such as GDPR or Data Protection Act 2018 will need to consider a number of factors:

• Customisable dashboards and real-time reporting. Team leaders can immediately see compliance rates, lagging areas, deadlines – and act accordingly.
• Accessible documentation. A reliable system provides a clear audit trail should it be required, with easy-to-access records.
• Reminders and notifications. Employees – and their managers – will receive automatic reminders when training is due.
• Workflow integration. Seamless integration with existing workflows supports a faster, more efficient means of monitoring training, and supports scalability.
• Key LMS features. Any good system includes learning paths, course allocation, management reporting, customisation options and more.

Can learning management systems generate custom compliance status reports to help with FCA audits?

Most Learning Management Systems (LMS) can generate custom compliance status reports businesses can use in the event of an FCA audit. Some essential capabilities include:

• Custom reporting. Learning Management Systems enable you to filter reports by role, departments or team. These reports can often be exported for demonstrable evidence.
• Automated alerts & tracking. Good LMSs have automated reminders and will escalate workflows if training remains incomplete – demonstrating proactive compliance management.
• Integration with HR & compliance tools. A reliable LMS can integrate with HR systems or compliance management platforms, so training records are aligned with employee records.
• FCA-specific relevance. Organisations should be able to use their LMS to show they’re meeting compliance requirements, demonstrating who is trained, when, and on what.

How can businesses implement compliance training monitoring systems?

When it comes to compliance, your organisation’s ability to adhere to policies and regulations hinges on an effective implementation.

1.Define your organisation’s compliance requirements

All UK businesses have a number of legally mandated regulations and laws to adhere to, such as GDPR, anti-money laundering, anti-bribery and more. But, your organisation may also need to follow compliance related to the industry you operate in – such as manual handling – in addition to company-centric policies.

2. Identify what platform will support your specific needs

Once you have a comprehensive view of your needs, you can select a LMS or compliance training platform to support those requirements. As mentioned above, a tool which enables customisable dashboards, real-time reporting, audit trails, automated reminders and more will make your compliance training far easier.

3. Determine clear responsibilities and expectations

And communicate these well across teams and departments. Accountability and tasking will naturally differ from manager to employee, but reinforcing company training policy, assigning ownerships, and following these up with firm steps will help long-term success.

4. Automate monitoring, reminders, and reporting

Reliable LMSs and compliance training platforms will enable your organisation to automate the essential steps. Managers can automatically receive monitoring updates, employees will receive push reminders when training must be completed, and leadership can opt for real-time reporting. Keeping compliance on track, without a significant workload.

5. Foster a ‘compliance culture’

Compliance training may seem like a tick-box exercise, but the reality is: it keeps us all safe and protected. Whether you’re a business owner, a middle manager, or a member of a large team. Embedding this message within your internal culture is the first step in maintaining compliance, and reducing risk for all parties.

Discover our compliance training and tools

Whether you’re preparing for an audit or simply aiming to strengthen your culture of compliance, we can help you find the right system. Saving your business time, reducing risk, and keeping you confidently ahead of compliance obligations.

Our compliance portal has its own built-in LMS to manage and deliver training, AI assistance, reporting capabilities and compliance tools. These tools are designed to streamline your compliance learning. The tools include our:

• Policy Hub
• Compliance Registers
• Compliance Surveys
• Compliance Declarations
• AI Digital Assistant (Aida)
• Training 360
• SMCR Registers
• Events Management System (EMS)

If you would like to access leading insights and compliance tips, you can browse our free resources by topic to find guides, modules, compliance bites and more.