A tailored course, built for your situation
Mastering MiFID II for Client Support Leaders in Financial Services
Turn compliance rigor into visible leadership through client-first implementation frameworks
$199 one-time
24-hour access provisioning
30-day money-back guarantee
Hand-built implementation playbook
12 modules. 12 chapters per module. 144 chapters total.
12 modules, each with 12 chapters (144 chapters total), text-based, plus downloadable templates and a hand-built implementation playbook delivered alongside course access.
Your MiFID II efforts are thorough, but they’re not being seen by the leaders who matter
The situation this course is for
High-performing support leaders like Jeanette deliver MiFID II consistency daily, but their role is often misperceived as operational only. Their deep coordination across compliance, client management, and regulatory tracking rarely surfaces in leadership forums, despite being foundational to audit readiness and client trust.
Who this is for
Senior client support executives in financial services who own regulatory customer interaction frameworks and want their strategic contribution formally recognized
Who this is not for
Entry-level support staff, non-client-facing compliance analysts, or consultants without direct ownership of client-facing MiFID II implementation
What you walk away with
- Own the end-to-end MiFID II client communication workflow with documented authority
- Surface compliance decisions in leadership reviews with confidence and clarity
- Convert routine support outcomes into repeatable regulatory artifacts
- Build audit-ready documentation that traces client interactions to MiFID II requirements
- Position client support as a core contributor to regulatory strategy
The 12 modules (with all 144 chapters)
Module 1. MiFID II Fundamentals in Client Support Contexts
Establish the core obligations of MiFID II as they directly impact client communications, recordkeeping, and service delivery workflows in financial institutions.
12 chapters in this module
- Origins of MiFID II
- Client Categorization Rules
- Product Governance Expectations
- Suitability vs Appropriateness
- Best Execution Requirements
- Inducements and Commissions
- Recordkeeping Obligations
- Communication Standards
- Client Reporting Frequency
- Complaint Handling Timelines
- Third-Party Oversight
- Regulatory Updates Tracking
Module 2. Mapping MiFID II to Internal Support Systems
Align MiFID II requirements with existing client support platforms, workflows, and escalation paths to ensure compliance is embedded, not bolted on.
12 chapters in this module
- Support Ticket Taxonomies
- CRM Field Mapping
- Call Logging Protocols
- Email Archiving Integration
- Client Consent Tracking
- Service Level Agreements
- Escalation Chain Design
- Cross-Team Handoff Points
- Data Retention Policies
- System Audit Trails
- Training Documentation Sync
- Version Control for Updates
Module 3. Designing Client-Facing Compliance Workflows
Build support workflows that meet MiFID II standards while enhancing client experience and reducing operational drag.
12 chapters in this module
- Client Onboarding Flows
- Periodic Review Scheduling
- Risk Profiling Interviews
- Documentation Collection
- Conflict Disclosure Scripts
- Service Change Notifications
- Fee Explanation Templates
- Personalization Rules
- Language Consistency
- Multi-Jurisdiction Variants
- Client Opt-Out Handling
- Audit Trail Generation
Module 4. Documentation and Recordkeeping Standards
Ensure all client interactions are captured, stored, and retrievable in line with MiFID II regulatory expectations.
12 chapters in this module
- Call Recording Compliance
- Email Capture Scope
- Metadata Requirements
- Storage Duration Rules
- Access Control Policies
- Searchable Index Design
- Data Localization Needs
- Third-Party Vendor Logs
- Client Access Requests
- Redaction Procedures
- Retention Schedule Alignment
- Audit Readiness Checks
Module 5. Best Execution in Client Support Decisions
Implement frameworks for ensuring clients receive optimal execution outcomes, even in support-driven scenarios.
12 chapters in this module
- Order Routing Transparency
- Price Comparison Tools
- Market Data Sources
- Client Instructions Handling
- Execution Timing Policies
- Venue Selection Criteria
- Cost Disclosure Methods
- Client Confirmation Flows
- Post-Trade Reporting
- Exception Handling Rules
- Benchmarking Performance
- Oversight Reporting
Module 6. Inducements and Conflict Management
Develop clear policies and disclosure practices for handling inducements and potential conflicts of interest.
12 chapters in this module
- Gift and Entertainment Policies
- Third-Party Payments
- Commission Structures
- Client Disclosure Language
- Internal Approval Chains
- Conflict Flagging System
- Training for Frontline Staff
- Due Diligence Documentation
- Vendor Relationship Tracking
- Annual Review Process
- Remediation Procedures
- Regulatory Filing Alignment
Module 7. Complaint Handling and Escalation Frameworks
Build robust systems for managing client complaints in compliance with MiFID II timelines and reporting requirements.
12 chapters in this module
- Complaint Classification
- Initial Response Timing
- Escalation Path Definition
- Client Communication Templates
- Root Cause Analysis
- Regulatory Reporting Thresholds
- Trend Monitoring
- Resolution Time Targets
- Client Feedback Loops
- Internal Audit Triggers
- Annual Reporting Aggregation
- Process Improvement Cycles
Module 8. Training and Competency Assurance
Establish training programs that ensure client support teams are competent in MiFID II requirements.
12 chapters in this module
- Role-Based Curriculum Design
- Onboarding Certification
- Annual Refresher Content
- Assessment Methods
- Competency Tracking
- Client Scenario Drills
- Regulatory Update Integration
- Manager Oversight Roles
- Third-Party Contractor Training
- Language-Specific Modules
- Audit Preparation Drills
- Performance Linkage
Module 9. Monitoring, Testing, and Audit Readiness
Implement regular monitoring and testing of MiFID II compliance in client support functions.
12 chapters in this module
- Control Testing Frequency
- Sample Selection Methodology
- Deficiency Tracking
- Remediation Timelines
- Internal Audit Coordination
- External Auditor Preparation
- Regulatory Inspection Readiness
- Gap Analysis Frameworks
- Process Walkthroughs
- Evidence Compilation
- Stakeholder Briefings
- Post-Audit Follow-Up
Module 10. Cross-Border Support Considerations
Navigate MiFID II requirements across jurisdictions and ensure consistency in global client support.
12 chapters in this module
- Jurisdictional Overlap Rules
- Local Regulatory Add-Ons
- Language and Translation
- Cultural Expectations
- Data Transfer Agreements
- Client Consent Harmonization
- Time Zone Challenges
- Local Contact Requirements
- Regulatory Filing Differences
- Third-Country Rules
- Subsidiary Reporting
- Central Oversight Design
Module 11. Leveraging Technology for Compliance Efficiency
Use technology to automate and streamline MiFID II compliance in client support workflows.
12 chapters in this module
- Workflow Automation Tools
- AI for Call Analysis
- Document Management Systems
- Integration with Core Platforms
- Real-Time Monitoring
- Alert Systems
- Reporting Dashboards
- Data Analytics for Trends
- Security Protocols
- User Access Controls
- Change Management
- Vendor Selection Criteria
Module 12. Strategic Leadership and Visibility
Position client support as a strategic function through MiFID II implementation excellence.
12 chapters in this module
- Executive Communication
- Regulatory Narrative Shaping
- Cross-Functional Influence
- Board-Level Summary Design
- Metrics That Matter
- Success Story Compilation
- Internal Advocacy
- Thought Leadership
- External Benchmarking
- Regulatory Engagement
- Team Recognition
- Future-Proofing Strategies
How this maps to your situation
- Implementing MiFID II in client support operations
- Improving regulatory visibility of support outcomes
- Strengthening cross-functional credibility
- Reducing audit findings through proactive design
Before vs. after
Before
MiFID II compliance is handled quietly, correctly, but invisibly, within support operations.
After
Client support decisions are surfaced, cited, and celebrated in leadership forums as key contributions to regulatory excellence.
What's included with your purchase
- 12 modules with 12 chapters each (144 chapters)
- Downloadable templates and worked examples for every module
- Hand-built implementation playbook delivered alongside course access
- 30-day money-back guarantee
Delivery and format
- Course and learning environment access provisioned within 24 hours of purchase
- Hand-built implementation playbook delivered alongside course access
Format: Text-based modules and chapters in the Art of Service learning environment, plus downloadable templates and worked examples for every chapter, plus the hand-built implementation playbook delivered alongside course access.
Time investment: Approximately 4 hours per module, with self-paced access and immediate download of all resources.
If nothing changes
Without structured visibility, even flawless MiFID II execution remains unseen, leaving strategic influence to others.
How this compares to the alternatives
Unlike generic compliance courses, this program is tailored to client support leaders and focuses on making their work visible, strategic, and audit-ready, without requiring legal or compliance certification.
Frequently asked
Is this course suitable for non-compliance professionals?
Yes, this course is designed specifically for client support leaders who must implement MiFID II without being compliance experts.
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Will I receive practical tools?
Yes, every module includes downloadable templates, real-world examples, and a final implementation playbook tailored to client support workflows.
$199 one-time. Approximately 4 hours per module, with self-paced access and immediate download of all resources..
Within 24 hours your account in the learning environment is provisioned and the tailored implementation playbook is delivered alongside it.
30-day money-back guarantee·
144 chapters·
Hand-built playbook included·
Account access within 24 hours