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Senior Managers and Approved Persons - the Role of HR

Corporate Training Partnerships
Course summary
1 day

Course description

Senior Manager, Certification & Approved Person Requirements - the Role of HR

It is no longer possible for HR professionals in financial services organisations to leave all regulatory matters and responsibilities in the hands of the Compliance department. Under the FCA and PRA, regulation has extended into core areas of the traditional HR remit, such as the vetting of applications and applicants for significant roles and the setting and monitoring of core competencies. The advent of the Senior Managers and Certification Regime (SM&CR) calls for the full engagement of HR as well as providing a helpful platform from which to promote the value of the HR function to the business.

This focused workshop is specifically designed to help HR specialists contribute effectively to the implementation and ongoing operation of the SM&CR in their firms. The programme addresses the regulatory requirements that need to be met and provides an opportunity to update and refresh understanding of the regulators’ expectations. It also provides guidance on the practical steps HR can take to make SM&CR a success within their organisations. 

This course is designed for delegates from both PRA regulated firms, who are already subject to the SMR and Certification or SIMR requirements, and firms regulated solely by the FCA, who will face similar obligations shortly.

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Suitability - Who should attend?

This one-day training programme is aimed at HR professionals who are responsible for key HR activities within a financial services organisation, including:

  • Talent Management
  • Employee benefits
  • Recruitment
  • Training & Development
  • Administration and record keeping
  • Risk, Compliance and Audit specialists responsible for monitoring HR activities

Outcome / Qualification etc.

Attendance at this training event can provide delegates with 6 CPD hours to count towards their continuous professional development needs.

Training Course Content

This training course is designed to cover the following aspects of Approved Persons HR Management:

  • Development of the PRA / FCA rules governing people
  • Fitness and property
  • Senior Management Arrangements, Systems and Controls
  • Senior Managers and Certification
  • Recruitment
  • Achieving, Assessing and Maintaining Competence
  • HR related Risks and Controls


The cost of this training course designed by CPD is £675 + VAT per delegate.

A 10 % discount is available for bookings of 3 or more delegates.

In-house / Company-specific training

CTP can also deliver this course in-house, to meet the training requirements of your team.

About provider

Consultancy and Training Partners

Corporate Training Partnerships - CTP: Risk Management, Regulatory and Technical Training for Financial Services Organisations

CTP is a specialist training company serving the financial services sector. They use industry experience to provide creative and effective training that visibly contributes to the business success of their clients. CTP understands your challenges and constraints and provide the optimal...

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Connection Capital"
Well presented and very informative
It's an extremely important topic. The day gave me a very good overview of the the things we need to focus on in the future
State Street
Very useful, informative and at the right pace. Would recommend the course
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Senior Managers and Approved Persons - the Role of HR
Course rating
Based on 6 reviews
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