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The competence of staff has always been high on the Regulator’s agenda and the introduction of the Senior Management and Certification Regimes (SM&CR) has placed an even greater importance on the effective demonstration.

How would you prove that your arrangements manage and mitigate people risks as they emerge?  How confident are you that your Training and Competence (T&C) practice aligns to HR policy and supports the delivery of cultural performance within the business?

Some see T&C as a “tick-box” exercise but when it is designed to support the development of capability it can be one of the most effective tools in attracting and retaining talent.

A well designed and executed T&C framework will help you demonstrate to the Regulator that your staff really are at the centre of your organisation and that you have effective processes in place for the measurement and management of individual competence and capability.

How will this workshop assist you?

This practical one day workshop provides professionals who are involved in the design, implementation or overseeing of T&C with the knowledge to help develop a successful T&C Framework and approach.

It will also consider competence in a post MiFID II and Certification world, considering the crossovers and challenges this brings, through a combination of presentations and practical exercises.

Topics covered include…..

  • FCA’s approach to competence, capability and conduct (3 C’s)
  • T&C Policy, process and practice (3 Ps’)
  • The importance of the supervisor within T&C
  • Effective management information to demonstrate competence
  • Aligning T&C practice with HR strategy

This workshop will allow delegates to receive technical and regulatory input as well as participate in syndicate work, enabling delegates to debate practice and embed learning

By the end of this workshop you will….

  • Understand the Regulatory and Business backdrop to T&C
  • Confirm the key elements that make-up a successful T&C Framework
  • Design an effective T&C Framework for your firm
  • Demonstrate people competence and capability management
  • Consider how to effectively align your T&C best practice with your HR and SM&CR arrangements

Who should attend?

This workshop is suitable for those individuals involved in the design and oversight of T&C and who may be impacted by the new Certification Regime in particular:

  • Operations
  • Human Resources and Learning and Development
  • Compliance
  • Organisation and Change Management

Small group sizes & expert trainers

Small group sizes allow a high level of interaction and support. We use only the best trainers that facilitate interactive classes.

Your Trainer 

Lynne has extensive experience of Financial Services working within a variety of roles in the Retail sector before moving into the world of regulatory consulting. She specialises in the interpretation of FCA regulation and the impacts on people. This includes the design and development of training and competence frameworks, the Senior Managers and Certification Regime (SM&CR), identifying and managing conduct risk and the development of culturally aligned pragmatic policies and processes.

Lynne also has a highly successful record as a leader and developer of people providing a strong awareness and understanding of what is takes to be an effective supervisor.

A highly effective coach with a proven record in operational HR and L&D Lynne recognises the need to ensure solutions are easy to understand and effective; and is able to deliver high quality commercial outcomes


Lynne Hargreaves
Clearstep Consulting Ltd.

Booking and Registration Information

If you are a PIMFA member please ensure you have logged in to register for this webinar, podcast or event and receive your discount. If you are unsure of your login details you can request a new password via our website or email us to reset it for you. If you are unsure whether you belong to a PIMFA member firm please register for an account or email us and we will confirm this for you. You can still register for our webinars, events and podcasts as a non-member (charges apply in some instances). Requests may take up to 48 hours to process.



3rd March
09:00 - 16:30
£400 - £500
Event Categories:


CPD Hours


PIMFA, 22 City Road, Finsbury Square, London
London, EC1Y 2AJ United Kingdom
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