Key Details

Duration: 90 minutes

Delivery method: In-house

Overview

We offer SMF interview coaching to cover situations where SMF holders: Require preparation for initial approval by the FCA or the PRA; or Wish to discuss what “reasonable steps” mean in the context of their role. Because our trainers have worked closely with all types of SMF holder in most...

We offer SMF interview coaching to cover situations where SMF holders:

  1. Require preparation for initial approval by the FCA or the PRA; or
  2. Wish to discuss what “reasonable steps” mean in the context of their role.

Because our trainers have worked closely with all types of SMF holder in most types of firm, we are well placed to discuss the “reasonable steps” that should be taken in practice in order to comply with the conduct rules for Senior Managers.


The session will focus on either a mock interview or a discussion based on the SMF holder’s specific role and responsibilities with their firm.

This will typically include:

  • 30-60 minutes of interview questions in a typically robust interview scenario
  • Specific reference to the individual’s Statement of Responsibilities
  • Feedback on both technical and non-technical aspects of the mock interview
  • Discussion of the regulators’ interview techniques in conducting a SMF interview.

After attending this session, holders of Senior Management Functions should be able to:

  • Handle the technical aspects of a SMF interview given by either the FCA or PRA
  • Understand the non-technical aspects of such interviews
  • Appreciate the “reasonable steps” needed in the context of their SMF role.