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
Our course explains the purpose of the SMCR and what the regulator wants to achieve. We will highlight key lessons learned from enforcement action related to SMCR and clarify the role of the three lines of defense in SMCR compliance. Providing you with guidance on what the regulator expects from support functions and sharing top tips for scoping a SMCR monitoring review or audit
This SMCR training course for Legal, Compliance, Monitoring, Audit staff explains the regulator's objectives, the role of three lines of defence, and how support functions can help with SMCR compliance. It also covers lessons learned from enforcement action and top tips for monitoring or auditing SMCR.
Learning Outcomes
By the end of this training, participants will be able to:
Understand the purpose of the SMCR and its impact on the financial services industry
Identify key lessons learned from enforcement action related to SMCR
Recognize the role of the three lines of defence in SMCR compliance
Apply their knowledge to support the business in complying with SMCR Scope
Plan a SMCR monitoring review or audit
Course Outline
This SMCR training course is designed for support staff in Legal, Compliance, Monitoring, Audit roles who need to monitor, support, advise or audit the business compliance with the Individual Accountability Regime (IAR).
Our course covers the purpose of the SMCR and what the regulator wants to achieve, including how it differs from previous regimes. Participants will learn about key lessons learned from enforcement action related to SMCR and the role of the three lines of defence in SMCR compliance. The training will provide guidance on what the regulator expects from support functions, including how to support and advise the business on SMCR compliance.
The course also shares top tips for scoping a SMCR compliance monitoring review or internal audit, including how to identify the most relevant areas of the business to review, and how to report findings and recommendations.
By the end of the training, participants will have the knowledge and skills to support the business in complying with SMCR and to plan and conduct a SMCR compliance monitoring review or internal audit effectively.
Required Knowledge and Skills
The course is suitable for individuals working in support functions such as risk, compliance, legal, finance, wanting to enhance their knowledge of the Individual Accountability Regime, commonly known as the SMCR
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.