Supervising Certified Persons and Assessing F&P

Monday 30th November, 2020

Online training

Attendee Fees: Non-members: £400 (VAT Exempt), Members: £200 (VAT Exempt)

Time: 12:30 - 15:30

Duration: 3 hours

This event has passed.

This session will run online from 12.30 – 15.30.

Would you want to be accountable for the competence of Certificated Individuals if your supervisory staff had not been trained to carry out their role in the way that will satisfy the regulatory requirements?

This online session will provide you with ideas for assessing fitness and propriety and Certificating relevant employees.

Why attend?
With certification comes responsibility and accountability. The regulatory expectations of Supervisors have not changed but the focus on the evidencing and acknowledgement of responsibilities has particularly as the FCA is focusing on making sure we continue to treat all clients fairly in these extraordinary times. Now is the time to ensure that your supervisors of staff really understand what is and will be required of them. Firms will be delegating day to day management of people to team leaders, heads of desk, departmental heads but the FCA will be looking at organisational charts and responsibility maps to understand who is carrying the can for ensuring staff behaviours are aligned to their expectations.

Course Overview

This course will enable you to:

Understand the regulatory responsibilities around assessing fitness and propriety, along with the process of Certification
Verify what it means to assess against competence standards
Be able to differentiate between assessing and monitoring on-going fitness and propriety
Confirm the importance of providing coaching, mentoring and effective appraisal
Take away key actions and ideas to improve your fitness and propriety assessments and Certification arrangements

Trainer

This session will be delivered by Stephen Fairclough.

Stephen is a former Head of Education for HSBC covering the UK and Europe, responsible for regulatory and financial crime related compliance learning. His time at HSBC was during intense scrutiny from regulators and government functions during the bank’s Deferred Prosecution Agreement. With other roles ranging from advising customers within a high-street retail branch, to Senior Vice President responsible for Global Risk & Compliance training at a US-based bank, Stephen’s range of experience is adaptable to your business.

He also worked in the Insurance Firms division at the Financial Conduct Authority (in the FSA days) where he was the divisional expert for the rules and outcomes required under the Training & Competence handbook. Stephen won the Thomson Reuters award for “Most Effective Compliance Training at a Regulated Firm” in 2010. Stephen has worked with retail, commercial, wholesale and private banking channels. He enjoys the design and delivery of training to an audience either live or virtually.