Embedding the Senior Manager and Certification Regime

Registration with refreshments and light lunch at 12:30pm, CPD lecture to start at 1:00pm, close at 2:00pm

Embedding the SM&CR – key business focus:
Post the 9 December 2019, how do organisations embed the governance arrangements and commitments made to the FCA and bring these to life in terms of practical business activity.
In this session we will explore certification requirements and outline the key ones using industry insight, with a focus on what are the key industry challenges we are seeing and how can organisations avoid similar issues. As well, as looking at practical steps and the overview of the key areas of regulatory focus and observational trends.

Learning Objectives
Identify practical examples of how to embed the expectations of the FCA and the SM&CR into day to day business activities including:
- Evidencing reasonable steps
- Understand practical steps organisations can take to demonstrate appropriate 2LOD and oversight of SM&CR governance.
- Benefits and Challenges of formal delegation of responsibilities
- Understand common operational challenges in implementing Certification and the practical steps organisations can take to avoid this.
- Key regulatory trends and focus areas

Speaker Biography
Fiona is a Senior Manager in the Deloitte Risk and Regulation practice based in Newcastle. She has recently joined professional services following 15 years as a senior manager within the financial services industry experience across both retail banking and general insurance.
Fiona’s specialisms include expertise in 2LOD Compliance and Assurance Frameworks, Corporate Governance, Conduct Risk, Vulnerable Customers, Insurance Distribution Directive, Operational Risk, Data Protection and Privacy controls, Training & Competence, SM&CR, Remuneration & Incentives, Risk Appetite development, ERMF Frameworks and regulatory reporting.

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