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
During our course you will gain a deep understanding of the Certification Regime and its implications for holders of Certification Functions. You will learn how to effectively manage your liabilities and risks as a Certified Person. Developing practical strategies for achieving success in your role as holder of a Certification Function.
This course is designed for individuals who are taking on a Certification Function who need training to gain a deeper understanding of the regime, manage your risks, and succeed in your role.
Learning Outcomes
Gain a deep understanding of the Certification Regime and its implications for holders of Certification Functions
Learn how to effectively manage your liabilities and risks as a Certified Person
Develop practical strategies for achieving success in your role as holder of a Certification Function
Course Outline
As holder of a Certification Function, you play a vital role in ensuring that your organization operates in a safe and sound manner, and complies with all relevant regulatory requirements. Under the Certification Regime, you also have specific responsibilities and liabilities that you need to be aware of, and manage effectively.
Our training course is designed to help you do just that, by providing you with a comprehensive understanding of the regime, and practical strategies for managing your liabilities and risks. The training will start by providing you with a detailed overview of the regulatory framework, key requirements and expectations, and the consequences of non-compliance.
We will also help you understand the specific responsibilities and liabilities that come with your role as a Certified Person, and provide guidance on how to manage them effectively. This includes identifying and mitigating potential risks, and ensuring that you have the necessary governance, controls, and reporting structures in place to support your decision-making processes. In addition, we will provide you with practical strategies for achieving success in your role as a senior manager. This includes guidance on effective leadership, communication, decision-making, and risk management. We will also help you understand the governance structures and committees within your organization, and provide guidance on how to interact with other senior managers in a way that promotes trust, collaboration, and accountability.
We recognize the importance of protecting yourself and your interactions with Senior Managers during governance or committees. As such, we will provide you with practical steps that you can take to mitigate potential risks and safeguard your reputation. This includes guidance on how to identify and address conflicts of interest, how to manage whistleblowing and reporting procedures, and how to maintain robust records of your decision-making processes.
By the end of this training, you will be fully prepared to take on your role as a senior individual with confidence, competence, and a clear understanding of your responsibilities and liabilities under the Certification Regime.
Required Knowledge and Skills
The course is suitable for individual's taking on a PRA or FCA Certification Function such as Material Risk Takers, CASS Oversight, Managers of Certification Functions, who want to understand their additional obligations as holders of a PRA or FCA Certification Function
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.