PIMFA
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As firms navigate towards a ‘new norm’ the FCA has made it clear in 2020 that they “expect firms to continue to demonstrate that relevant individuals remain competent to carry out their work”. Through this lens, PIMFA member firms must:
1. Be confident that their approach to training and competency (T&C) is robust enough to mitigate the ever-present threat of conduct risk issues arising from staff working remotely.
2. Continually evolve their approach to T&C to ensure that their staff have the necessary skills to perform their role to deliver better client outcomes and ultimately protect their reputation.
Why you should attend this online course?
This practical online training course (divided into 2 x 2.5-hour sessions) provides professionals who are involved in the design, implementation or overseeing of T&C with the knowledge to help develop and adapt a successful T&C Framework and approach for a displaced workforce.
Fully updated to reflect the FCA most recent announcements and notifications on SM&CR, Culture and Conduct, this online course supports you to:
- Review and modify your approach to T&C to reflect FCA expectations
- Adapt your approach to T&C for a remote and office-based workforce
- Update your T&C policies and procedures to account for any changes to business processes resulting from COVID
- Conduct effectively remote supervised T&C assessments
- Ensure T&C records are complete properly maintained
- Get to grips with The FCA approach to competence, capability and conduct (3 C’s)
- Evaluate the robustness of your T&C Policy, process and practice (3 Ps’)
- The importance of the supervisor within T&C
- Collate effective management information to demonstrate competence
- Align T&C practice with HR strategy
- Update and reposition your approach to T&C appropriate to the current climate
- Understand the Regulatory and Business backdrop to T&C
- Confirm the key elements that make up a successful T&C Framework
- Design an effective T&C Framework for your firm
- Demonstrate people competence and capability management
- Consider how to effectively align your T&C best practice with your HR and SM&CR arrangements
Who should attend this online session?
This online training session is suitable for those individuals involved in the design and oversight of T&C and who may be impacted by the new Certification Regime in particular:
• Operations
• Human Resources and Learning and Development
• Compliance
• Organisation and Change Management
How are PIMFA’s live online learning sessions different?
This live online course (comprising of 2 x 2.5-hour session: session one 9am -11.30am, session two 2.00pm-4.30pm) is not your typical webinar session. Our live online courses are active, discussion-based learning experiences that use interactive exercises as you move back and forth between the main session and small group breakout rooms. To ensure you get maximum value from this course we limit online course numbers to 12 delegates. For your convenience, this online session will be recorded and available for you to review on-demand.
Your Trainer:
Lynne has extensive experience of Financial Services working within a variety of roles in the Retail sector before moving into the world of regulatory consulting. She specialises in the interpretation of FCA regulation and the impacts on people. This includes the design and development of training and competence frameworks, the Senior Managers and Certification Regime (SM&CR), identifying and managing conduct risk and the development of culturally aligned pragmatic policies and processes.
Lynne also has a highly successful record as a leader and developer of people providing a strong awareness and understanding of what it takes to be an effective supervisor.
A highly effective coach with a proven record in operational HR and L&D Lynne recognises the need to ensure solutions are easy to understand and effective and is able to deliver high-quality commercial outcomes.
