Embedding the Senior Manager and Certification Regime
Slides available to download
Registration from 8am with light breakfast sandwiches. To start at 8:30am until 9.30am.
As part of our efforts to innovate in CPD in 2020 we are now looking to offer more focused sessions outside of lunch hours that allow us to work on niche subjects and soft skills that we hope are useful to our members that can sometimes find lunchtime sessions hard to make.
We’re delighted to have Fiona Jones from Deloitte LLP to present our first breakfast session. She will discuss how to embed the Senior Manager and Certification Regime. This event will focus on how organisations embed the arrangements and commitments made to the FCA in a practical manner.
Please book early to avoid disappointment as numbers will be more limited than our usual lunchtime lectures.
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
Fiona Jones is a Senior Manager within the Deloitte Risk and Regulation practice based in Newcastle. Prior to joining Deloitte Fiona spent 16 years within the industry in both Retail Banking and more recently as the Head of Compliance at a General Insurance firm. Fiona has extensive experience as a Senior Manager in Compliance and works with a variety of clients across investments, retail banking, consumer credit, pensions administration, general retail and insurance sectors.
Fiona’s specialisms include expertise in the development and implementation of second line of Defence (2LOD) Compliance and Assurance Frameworks, Corporate Governance, Regulatory Authorisations (including Senior Manager and Certification Regime), Conduct Risk, Vulnerable Customers, Insurance, Operational Risk, Enterprise Risk Management frameworks and Risk Appetite, Data Protection and Privacy (GDPR) controls, Remuneration & Incentives, and Regulatory engagement / reporting. In addition, Fiona also provides Subject Matter Expertise as part of Internal Audit Assurance programme activity within the 3rd line of defence.
This demonstrates the quality of an event and that it meets CII member CPD scheme requirements.
1 hour's CPD can be claimed for this event if relevant to your learning and development needs.
It is recommended that you keep any evidence of the CPD activity you have completed and upload copies to the recording tool as the CII may ask to see this if your record is selected for review. Details of the scheme can be viewed online at www.cii.co.uk/cpd.