Course Code

  • BRCPD18

Venue

  • City of London

CPD Credits

  • 2.5 hours per session
Download PDF Get this course in-house

Or call 0203 178 4230 or email info@fstp.co.uk today.

Course Overview

The right investment in board competency can pay dividends for the firms that get it right. There are six core regulatory competency expectations of Senior Managers leading financial services firms:

1.    Market Knowledge
3.    Financial Analysis and Controls
5.    Regulatory Framework and Requirements
2.   Risk Management and Control
4.   Business Strategy and Model
6.   Governance, Oversight and Controls

However we believe there is an often overlooked seventh core competency;

7.  Growing YOUR Business

FSTP is pleased to provide a programme of essential topics, designed specifically for aspiring and newly appointed Senior Managers within the financial services industry. Each session is facilitated by an experienced industry professional that has held a senior position in a financial services firm. We understand your Senior Managers are busy individuals who often can’t afford to be away from their responsibilities for days on end. That’s why our workshops are only 2.5 hours long. They can be taken as a series of activities or individually, dependent on your level of confidence in the 7 core competencies. The programme is scheduled for the 2018 summer holiday period, as this is typically when BAU activity is less hectic. Each session is designed to support the core competency expectations and leave those attending with positive actions to take back to the firm.

Never before has it been more important to invest in your future leaders.

Whether you are a firm already affected by the Senior Managers Regime or one that will fall under the extended regime – can you afford for your aspiring Senior Managers to fail at the final hurdle i.e. the application and/or interview? Why would you not want your newly appointed Senior Managers to be in a positive position – ready for what lies ahead?

The Programme Overview

Developing Successful Strategies

The board is responsible for developing and overseeing the strategy of a business. This practical event, led by an expert, identifies the key elements of successful strategies, the common pitfalls and importantly where to start in making a contribution.

What does the Regulator expect of Senior Managers under SMR?

An essential update on where and what the expectations of Senior Managers are, how to get it right, how to manage your Certificated people and  what happens if your “reasonable steps” are not enough.

Principles of Risk Management and Oversight

All board members have a duty to oversee the identification, management and monitoring of risks to the business. But not everyone is a risk expert. This essential and practical event clearly sets out what the oversight role should entail as well as the basic mechanics of risk management.

Are you FCA/PRA interview ready?

This workshop is designed to help you get ready for a regulatory interview, either as part of the application for a Senior Manager role or part of supervisory visit with either the PRA or FCA. We’ll pose the common questions and give you the chance to consider how you will answer the tricky, left field questions the regulator might ask.  This workshop is the perfect session ahead of a mock interview with your own Compliance Department or external support.

Financial Management Oversight

Financial Management Oversight is the area where, if you don’t have an accounting background, Senior Managers fear the most. Can you challenge and question appropriately? As with the risk management course we cover what good oversight entails and how to challenge with confidence.

Culture – The Board’s Secret Weapon

Culture is led from the top but how would you describe your firms’ culture? Do you recognise traits in your behaviour which indicate the sort of culture you lead?  Are you aware of the sub cultures within your organisation? How do you if need to, change the culture of your firm? This workshop answers those questions, introducing a simple way to test if the culture of the firm is reflective of the Board.

Growing the Business – Learn the Vitals of Growth Leadership

Financial services are facing a binary choice; grow or decline. Platform technologies, costs and fees transparency are amongst factors that are now providing prospective and existing clients with more information and choice than ever before. Growing the client base is a vital skill that senior managers must lead successfully to maximise client outcomes.

This workshop demonstrates the essential skills, tools and techniques that bring about successful client acquisition and retention. It provides answers to the following questions; how do I get buy-in to growth? How do I identify stretch targets that drive the right behaviours? How do I inspire others to drive the growth agenda?

Download PDF Get this course in-house

Or call 0203 178 4230 or email info@fstp.co.uk today.

Meet The Tutors

We have a number of industry experts delivering these sessions.

Please download the brochure to find out more information on the consultants delivering during this programme.

  • Colum Smith
  • Eithne McManus
  • Richard Galley
  • Phil Ingle
  • Stuart Smith

Who is this course for?

This board ready programme is perfect for any aspiring or newly appointed senior manager. With the flexibility to attend whichever sessions you want allows you to tailor the programme to your area of focus.

Training that makes a difference

Experienced engaging trainers

With first hand industry knowledge and an intimate understanding of the regulatory environment, we always guide you with an expert (and friendly) hand.

Packed with relevant information

We know you’re busy, so we’re careful not to waste a minute of your time. Our training courses are fast paced, insightful and filled with valuable information.

Get personalised attention

Sessions are practical workshops not PowerPoint lectures. All courses are limited to no more than 14 attendees, so we’re able to explain concepts in the context of your business.

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Compliance Monitoring

Available in-house. Please contact for more information.

City of London

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