19 Sep 2018, London
9:30am to 4:30pm
It is no longer possible for HR professionals in financial services organisations to leave all regulatory matters and responsibilities in the hands of the Compliance department. Under the FCA and PRA, regulation has extended into core areas of the traditional HR remit, such as the vetting of applications and applicants for significant roles and the setting and monitoring of core competencies. The advent of the Senior Managers and Certification Regime (SM&CR) calls for the full engagement of HR as well as providing a helpful platform from which to promote the value of the HR function to the business.
This focused workshop is specifically designed to help HR specialists contribute effectively to the implementation and ongoing operation of the SM&CR in their firms. The programme addresses the regulatory requirements that need to be met and provides an opportunity to update and refresh understanding of the regulators’ expectations. It also provides guidance on the practical steps HR can take to make SM&CR a success within their organisations.
This course is designed for delegates from both PRA regulated firms, who are already subject to the SMR and Certification or SIMR requirements, and firms regulated solely by the FCA, who will face similar obligations shortly.
Attending will help you:
Anyone responsible for key HR activities within a financial services organisation, including: Talent Management, Employee Benefits, Recruitment, Training, L&D, Organisational Development, Administration and Record Keeping. The course is also valuable for individuals in Risk, Compliance and Audit with responsibilities for monitoring HR activities.
This course will combine lecture style presentations with practical examples and exercises. Delegate numbers will be limited to ensure a high quality learning environment
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 extensively 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 Practitioner and an Associate of the Chartered Insurance Institute.
|The regulators and rules governing people||
|The challenge of individual accountability||
|Application of the Senior Managers and Certification Regime||
|Elements of the Senior Managers and Certification Regime||
|Ownership of and responsibility for the regime||
|What we (should) have in place already||
|Practical aspects of implementing the regime by HR||
|More challenging situations||
|Reporting and record keeping||
|SM&CR and the broader HR agenda
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.Please contact us to discuss your requirements in more detail and at no obligation.