PIMFA
PIMFA’s SMF (Senior Managers Function) Regulatory Briefing Programme is a 12-month online leadership programme for time-strapped senior managers who need to cut through the regulatory noise and grasp, from a senior leader’s perspective, how to better measure, manage, and monitor compliance and regulatory risks within their firm.
What the FCA expects from Senior Managers
The FCA takes the competence of your Senior Managers very seriously. Upon applying to become an SMF, the FCA expects an individual to demonstrate a high level of skill and knowledge to carry out the role, supporting their application by completing a skills gap analysis, learning and development plan, and competency assessment.
Remaining Fit and Proper
But the regulator’s scrutiny of an SMF doesn’t stop at the application stage. The FCA expects your firm to ensure that your SMF holders continue to possess the requisite skills, particularly concerning the latest regulatory developments. Annual fit and proper assessments, mandated by the regulator and conducted by your firm, are not a ‘tick box’ exercise requiring you instead to carefully assess whether your senior managers are competent in performing their roles.
The solution
PIMFA’s new 12-month ‘SMF Regulatory Briefing Programme’ supports SMF holders in learning everything they need to know about the issues that matter most to them. It also prepares prospective SMF holders for the highest level of leadership. The programme consists of a series of live, monthly, online one-hour sessions on critical compliance, risk and financial crime challenges, enabling SMFs to:
- Keep up to date with the latest regulatory trends and initiatives
- Demonstrate their commitment to regulatory proficiency
- Access the training at a convenient time, through our on-demand learning platform
- Document CPD activity as required
Highlights and key outcomes
By enrolling on ‘The SMF Regulatory Briefing Programme 2025’, SMFs will be able to:
- Evidence to the FCA their in-role competency and capability required under SMCR.
- Rapidly assess the firm’s compliance exposure and vulnerabilities.
- Get ahead and make sense of a broad, complex, and ever-evolving regulatory and compliance landscape.
- Set priorities to develop a proactive regulatory change management programme.
- Lead your firm on how best to mitigate risks, create a firm-wide compliance culture, make sound decisions, and build resilience across the business.
- Improve their strategic thinking and ability to respond to regulatory change effectively.
- Explore with peers the latest research and best practices for managing risk to safeguard enterprise value.
Session format
Each session includes a mix of expert-led presentations, real-world case studies and small group discussions.
Programme topics and schedule
Through 12 sessions, SMFs develop the knowledge and insights on the latest regulatory changes and compliance challenges required to protect their firm’s assets, reputation, and competitive advantage.
Format: 12 x 1-hour monthly sessions
Delivery: Live, expert-led online learning sessions
Partners
- 28th January 2025
- 13 February 2025
- 20th March 2025
- 17 April 2025
- 8th May 2025
- 12th June 2025
- 17th July 2025
- 14th August 2025
- 11th September 2025
- 16th October 2025
- 13th November 2025
- 11th December 2025
Compliance and Risk outlook for 2025 [incl. AI]
Compliance and Risk outlook for 2025 [incl. AI]
SMFs’ Responsibility for Operational Resilience
SMFs’ Responsibility for Operational Resilience
Financial Crime Update for SMFs
Financial Crime Update for SMFs
SMFs and Vulnerable Customers
SMFs and Vulnerable Customers
Suitability for SMFs
Suitability for SMFs
Consumer Duty Update for SMFs
Consumer Duty Update for SMFs
ESG Update for SMFs
ESG Update for SMFs
SMFs’ Responsibilities for Whistleblowing
SMFs’ Responsibilities for Whistleblowing
Non-Financial Misconduct and D&I update
Non-Financial Misconduct and D&I update
Challenges for SMFs in recent enforcement cases
Challenges for SMFs in recent enforcement cases
SMFs and Corporate Governance
SMFs and Corporate Governance
Key KYC Challenges for SMFs
Key KYC Challenges for SMFs
More about Peter Haines
Peter has over 35 years’ experience in the field of regulation and compliance.
Peter spent 6 years working with the UK’s SFA (now the FCA) and has headed up regional and global compliance functions at Paribas, UBS Investment Bank and Bank of America. Since 2006, Peter has specialised in training, focusing on boards, senior management and assisting the next generation of compliance officers.
His coverage includes most areas of compliance and financial crime, corporate governance and risk management. His style is inclusive, interactive and based on practicalities, not just rules. Peter has occupied a number of SMF positions under the SM&CR and similarly under the previous regime.
More about Nigel Sydenham
Nigel specialises in training boards, senior executives and other staff on the impact of regulation and regulatory change.
He is a CFA Charter holder and Chartered Fellow of the CISI, with over 20 years industry experience.
With a background in compliance in private banking and wealth management, Nigel has a particular interest in effective corporate governance and the management of compliance and regulatory risk.
His interests also include issues relating to ESG and climate risk, conduct and culture (including non-financial misconduct), and all aspects of financial crime prevention, as well as the impact of fintech on compliance and regulation.
His training style is highly interactive, seeking to engage participants with the relevant issues through the use of case studies, group discussion and real-life examples.
