The Training Environment For Financial Services

Managing with Skill, Care and Diligence under SMCR

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Outline & Objectives

Following the implementation of the Senior Managers and Certification Regime (SMCR), 2020 was meant to be a year of transition and consolidation of SMCR good practice. These best laid plans have now been overtaken by the COVID-19 crisis. Nevertheless, the obligations for all firms to comply with the regime remain and, as the economy emerges from lockdown into a new-normal environment, the need for effective leadership and management is greater than ever.

This interactive workshop has been designed to support those who lead teams across the full range of management and supervisory roles. 

Attending will enable participants to:

  • Recognise the expectations placed on leaders by the Conduct Rules
  • Understand how your behaviour impacts the culture of both the firm and their team 
  • Demonstrate you are managing people with skill, care and diligence
  • Explore the impact of remote working and partial returns to the office on the leadership of a team
  • Consider the steps required to secure the well-being of individual team members

Who will benefit?

This workshop is equally appropriate for both newly appointed and more experienced managers and leaders from either solo or dual-regulated firms.

(We can also offer a shorter briefing specifically designed for those in Compliance, Risk and Human Resource functions who support the development of leaders, managers and supervisors at all levels in their firms.)

Training Approach

This course will be delivered via a real time slide sharing and live audio visual platform, accessible by desktop computer, laptop, tablet or smartphone. Class size will be limited to ensure a high quality and interactive learning experience.

Course Programme

Topics covered may include but are not limited to:

Core issues and challenges of leadership

  • Overseeing teams 
  • Caring for individuals

Leadership and the culture of the firm

  • Drivers of culture
  • Impact of leadership on the microculture of teams

Leadership and the Conduct Rules 

  • Individual Conduct Rules
  • Managing with skill, care and diligence

Managing teams during Covid-19 

  • Oversight of remote teams
  • Oversight of partial returns to the office

Managing individuals

  • Encouraging professional behaviour
  • Securing understanding of the Individual Conduct Rules
  • Nurturing individuals and caring for their welfare

Managing individual performance

  • Setting expectations and reviewing outputs 
  • Developing and coaching individuals
  • Inducting and training new team members

Fit and proper status

  • Initial assessment
  • Annual review and reassessment

Addressing performance problems

  • Dealing with discipline 
  • Breaches of Conduct Rules
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