We can run this course inhouse or privately just for you and your colleagues.
Please submit a training request to check availability and prices.
About the Course
This course provides an introduction to the SMCR and its three regimes. It explains the regulatory requirements and key processes. You will get to discuss how to manage breaches and examples of breaches.
This course enables participants to manage SMCR effectively in their role
This SMCR training course provides an introduction to the three regimes that make up the Individual Accountability Regime known as the SMCR, regulatory requirements, key processes, and how to manage breaches. It's suitable for those who are new to SMCR or need a refresher.
Learning Outcomes
By the end of this training, participants will be able to:
Describe the three regimes that make up the SMCR
Understand the regulatory requirements and key processes of SMCR
Recognize breaches of the SMCR and know how to manage them
Apply their knowledge to manage SMCR effectively in their role
Course Outline
This SMCR training course is designed for financial services personnel who are relatively new to SMCR or whose business has changed such that SMCR is becoming a more complex area to manage. It provides an overview of the three regimes that make up the SMCR, including the Senior Manager Regime, Certification Regime, and Conduct Rules.
Participants will learn about the regulatory requirements and key processes of SMCR, including the key templates used for compliance. Our course also covers the SMCR calendar, examples of breaches, and how to manage them effectively.
By the end of the training, participants will have the knowledge and skills to manage SMCR effectively in their role. The training is suitable for those who need a refresher on SMCR, as well as those who are new to the area.
Required Knowledge and Skills
The course is suitable for anyone in the financial services industry. This course can be adapted so that it specifically addresses individuals working in specific financial services roles such as risk and compliance, front, back, and middle office personnel, board members, and senior managers.
About Your Trainer
Zoe Keen
Zoe is a highly experienced finance professional with over 20 years of expertise in financial services Compliance. She has held various key roles, including Head of Public Side Advisory, Head of Central Compliance, Certifications, Control Room, and Surveillance.
With a deep understanding of UK and international regulations pertaining to investment financial services s, Zoe excels in senior management engagement, designing and implementing governance and risk frameworks, and overseeing comprehensive Compliance policies, procedures, and training programs.
As a Senior Consultant at Leaman Crellin, Zoe focuses on regulatory consulting and training, specialising in Environmental, Social, and Governance (ESG) and Sustainable Finance. She completed the University of Cambridge Sustainable Leadership Sustainable Finance course with an exceptional overall grade of 92%, showcasing her dedication and knowledge in the field. Zoe has cultivated a vast network of experts, including academics, scientists, policymakers, regulators, investors, financiers, and sustainable leaders, ensuring she stays up to date in this dynamic landscape.