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For many firms, knowing that a supervisory visit is coming up can be very stressful, with senior executives feeling pressure across all sectors. Regulators have focused their attention on the leaders of financial firms and, particularly, how they have responded to Covid-19’s impact and the new Consumer Duty regulation.
Many executives have already experienced this increased rigour, some very publicly. Firms must be prepared for:
Surviving a regulator’s visit is now more difficult than ever, but with expert insight and smart preparation, you can make it much easier.
Delegates will return to work with a much clearer understanding of which systems and processes need their attention, allowing them to allocate valuable time and effort more efficiently.
By the end of this workshop, you will be able to:
Whether you are seeking to upskill your team, enhance productivity or foster a culture of continuous learning, we can deliver customised training programmes designed to meet your specific needs. If you have an enquiry, you can complete the in-house form and our training team will be in touch with next steps.
The Regulator’s powers and approach
Analysing high-risk areas
Preparing for a regulatory interview
FSTP
With over 20 years training experience in financial services, Stephen is well placed to support you across a range of consultancy and developmental ac...
With over 20 years training experience in financial services, Stephen is well placed to support you across a range of consultancy and developmental activities. He is a former Head of Education for HSBC covering the UK and Europe, responsible for regulatory and financial crime related compliance learning, and has first-hand experience of meeting logistical deadlines complicated by volume, complexity and geography. His time at HSBC was during intense scrutiny from regulators and government functions during the bank’s Deferred Prosecution Agreement.
With other roles ranging from advising customers within a high-street retail branch, to Senior Vice President responsible for Global Risk & Compliance training at a US-based bank, Stephen’s range of experience is adaptable to your business. He also worked in the Insurance Firms division at the Financial Conduct Authority (in the FSA days) where he was the divisional expert for the rules and outcomes required under the Training & Competence handbook. Stephen won the Thomson Reuters award for “Most Effective Compliance Training at a Regulated Firm” in 2010.
The HSBC role, along with five years at Barclays in their Private Clients and Wealth functions, has seen Stephen work with retail, commercial, wholesale and private banking channels. While enjoying the design and delivery of training to an audience either live or virtually, Stephen can also work with your compliance, HR and operational teams to build or enhance your learning framework, ensuring appropriate systems, controls, checks and balances are in place to withstand any robust regulatory scrutiny, as well as delivering sustainable commercial benefits to your business.
Senior managers in financial services, or those preparing for regulator appointments/visits.
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