Preparing Yourself for Senior Compliance Responsibilities in FCA-Authorised Firms

Introduction

This three-hour virtual classroom seminar is designed for individuals seeking, or about to seek, FCA authorisation SMF roles.

The session will provide participants with a clear understanding of the FCA’s expectations of senior professionals, focusing on governance, culture, accountability, and competence. Attendees will gain confidence in the knowledge, skills, and behaviours required to perform their role effectively and to demonstrate ongoing competence to the regulator.

The interactive session will also explore how senior professionals can maintain and enhance their competence over time, applying learning in the workplace for both business and client benefit. Practical examples of strong and weak compliance oversight within FCA-authorised firms will be used throughout the session.

What You Will Learn

This live and interactive session will cover the following:

• Familiarisation with the senior compliance role and application of the FCA’s expectations for good governance, accountability, and positive culture
• Understanding and navigating key FCA rules, including relevant handbooks, sourcebooks, guidance, and upcoming regulatory initiatives
• Applying compliance knowledge proportionately to your own business model, sector, and client base
• Designing and implementing a robust, risk-based governance framework that supports effective oversight and informs senior management decision-making
• Identifying and evidencing competence for senior roles, including practical approaches to ongoing professional development
• Understanding how to remain up to date with FCA requirements and regulatory change

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.