The Training Environment For Financial Services

SMCR, Culture and COVID-19: the Role of HR - remote delivery

01 Oct 2020, Remote

14:30pm to 15:30pm

This course has already taken place click here to view our current courses

Outline & Objectives

Following the implementation of the Senior Managers and Certification Regime (SMCR) in solo-regulated firms last December, 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 to comply with the regime remain. 

This focused one-hour briefing has been designed to help HR professionals deliver SMCR to their firms as businesses move from the immediate disruption to the longer period of remote working as “new normal” practices crystallize. The session is equally appropriate for solo and dual-regulated firms.

This briefing and Q&A session is intended to equip participants with:

  1. An overview of SMCR and the role of HR in its implementation and operation
  2. Details of the immediate modifications made to the SMCR obligations caused by COVID-19
  3. Awareness of the key longer term issues which need to be addressed during 2020 and beyond, including the specific SMCR-related implications arising from remote working

Training Approach

This briefing will be delivered via a real time, slide sharing and live audio visual platform, accessible by desktop computer, laptop, tablet or smartphone. There will be a structured presentation of approximately 45 minutes followed by 15 minutes Q&A.

Agenda

  • Core elements of the SMCR
  • HR’s role in implementing the SMCR in firms
  • Modifications to SMCR requirements in response to Covid-19
        - The Senior Managers Regime
        - Certification
        - Training and Competence
        - The Register and Directory
  • Culture, Conduct Risk and COVID-19
        - Implications of remote working
        - Managing with skill, care and diligence
  • Obligations between now and March 2020
        - Certification
        - Fit and proper assessments
        - Conduct rules training
        - Securing compliance with the Conduct Rules
  • Longer term implications of the "new normal"
        - Integrating SMCR into "business as usual"
        - Managing conduct and people risk

Presenter

Charles Cattell is a consultant and training practitioner with extensive expertise across the financial services sector. He advises, trains and develops a broad range of financial services clients and their senior managers about the human aspects of regulation with a particular focus on managing people risk, the development of competence and expertise and the enhancement of corporate culture. His clients include banks, product providers, intermediary firms, and insurers with whom he works at a senior level on learning, leadership, regulatory and corporate governance issues. Charles also works with trade associations, examining bodies and regulators, whom he has advised on competence and professionalism issues. He is a Chartered Fellow of the Chartered Institute of Personnel and Development, a Chartered Member of the Chartered Institute for Securities & Investment and a Chartered Insurance Practitionerand an Associate of the Chartered Insurance Institute.

 

This course can be delivered in-house at a time and location to suit your business and tailored to suit your people and organisation. We can also create bespoke training when something very specific is needed.

Bottom Banner
© 2014 Corporate Training Partnerships. All Rights Reserved. Terms and Conditions | Privacy Policy