The Training Environment For Financial Services

Managing with Skill, Care and Diligence under SMCR

09 Dec 2020, remote delivery

9:30am to 12:45pm

Course fees: £295.00 + vat per person

Savings for multiple registrations

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
  • Engage with the fit and proper regime
  • 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 leaders from either solo or dual-regulated 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 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 Practitioner and an Associate of the Chartered Insurance Institute.

Course Programme

Session Content
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
Fit and proper regime
  • Fit and proper criteria
  • Meeting and maintaining fit and proper status
  • The initial fit and proper assessment of staff
Managing individuals
  • Encouraging professional behaviour
  • Inducting and training new team members
  • Securing understanding of the Individual Conduct Rules
  • Nurturing individuals and caring for their welfare
Managing individual performance
  • Setting expectations and reviewing outputs
  • Annual fit and proper review and reassessment
  • Developing and coaching individuals
Addressing performance problems
  • Dealing with discipline
  • Breaches of Conduct Rules

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.

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