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Transitioning SMCR into business as usual

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Julie Pardy, Director of Regulation and Market Engagement, Worksmart
Nic Dent, Propositions & Customer Engagement, Worksmart

The Senior Managers and Certification Regime (SMCR) has been part of the regulatory landscape for banking and insurance for 5 years now, and whilst its much less than that for the Financial Conduct Authority (FCA) solo regulated firms, there is still uncertainty around how best to align the requirements within firms.

Now that FCA solo regulated firms have passed the deadlines for both directory submissions and the first ever round of internal certifications, many firms after having taken a welcome breather are now completing the transition of SMCR requirements into "business as usual."

Easy to say it, but much more difficult to do it. So, what exactly should the transition entail and what might this look like?

With SMCR, one size certainly does not fit all and many firms found that they were either extremely stretched by the 21 March deadlines, or in some cases were unable to meet them.
This resulted in last minute decisions for some, with short term solutions enacted that will not pass the test of time.

Now is the time for those responsible for SMCR management within firms to consider how the initial round of certification and directory reporting went and thinking ahead around the on-going resourcing requirements of the regime.

This one-hour interactive webinar will consider, through discussion, live polling and debate whether firms need to consider further the following areas:

  • Accountability for the regime at an organisation and departmental level.
  • Has SMCR delivered improvements expected?
  • Did your year 1 processes for certification and directory deliver what was expected?
  • How are you assured around the effectiveness of your assessment processes?
  • How are you managing the on-going requirements for conduct rules training?
  • Are your processes sustainable?

Who will be speaking?
Julie Pardy, Director of Regulation and Market Engagement, Worksmart
Nic Dent, Propositions & Customer Engagement, Worksmart

Julie Pardy, Director of Regulation and Market Engagement, Worksmart
Julie has more than 30 years' experience in financial services, all of which has been gained within the banking, insurance and advice/wealth sector.

Julie has held senior roles across sales, compliance, operations, and training and competence. For the last third of her career, she has acted as a consultant to the industry.

As a partner at the regulatory training and consultancy firm FSTP for over four years, Julie led on projects covering the approved persons regime, culture, senior management responsibilities, regulatory interview preparation, S166 remediation projects, training and competence, conduct risk and treating customers fairly to name but a few.

Since then Julie had led on regulatory matters impacting Worksmart and it's customer base. Heavily focused on Governance, SMCR, employee competence and the wider issue of organisational culture over the last few years. Julie brings a wealth of diverse insights for firms and individuals alike.

Nic Dent, Propositions & Customer Engagement, Worksmart
Nic is an expert in people and performance management with over 11 years' experience advising on IT-based business solutions at board level to the UK's financial services industry. He has worked with many of the UKs most recognised financial services brands to deliver flexible and impactful software solutions. Nic is a specialist in the senior managers regime, regulatory compliance, conduct risk management and training & competence.

He is also an authority in quality assurance, complaint management and customer feedback systems and treating customers fairly. Nic is an advocate of the need to focus on managing individual competence and cultural conduct when targeting tangible real-world performance benefits and productivity gains.


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