• Course
    Supervising Certified People and Assessing Fitness & Propriety Virtually (AFPOL)
  • Dates
  • Venue
  • Course Fees (excl. VAT)
  • CPD Credits
    2 hours - £95 per person (ex.VAT)

Total Price:

Get this course in-house
Or call 0203 178 4230
or email info@fstp.co.uk today.

Course Overview

Your team are likely to be working remotely currently  but our responsibility to supervise them hasn’t gone away.  A number of them will either need to be certified again for this year OR in the case of solo regulated certified for the first time before 9th December.

And with certification comes responsibility and accountability. The regulatory expectations haven’t changed and are unlikely to, particularly as they focus on making sure we continue to treat all clients fairly in these extraordinary times. 
Now is the time to ensure that your supervisors of staff really understand what is and will be required of them.  Firms will be delegating day to day management of people to team leaders, heads of desk, departmental heads but the FCA will be looking at organisational charts and responsibility maps to understand who is carrying the can for ensuring staff behaviours are aligned to their expectations.

Would you want to be accountable for the competence of Certificated Individuals if your supervisory staff had not been trained to carry out their role in the way that will satisfy the regulatory requirements? 

This online session will provide you with ideas for assessing fitness and propriety and Certificating relevant employees. It will enable you to:
  • Understand the regulatory responsibilities around assessing fitness and propriety, along with the process of Certification
  • Verify what it  means to assess against competence standards
  • Be able to differentiate between assessing and monitoring on-going fitness and propriety
  • Confirm the importance of providing coaching, mentoring and effective appraisal
  • Take away key actions and ideas to improve your fitness and propriety assessments and Certification arrangements


Changing roles and responsibilities of a supervisor
  • Landscape changes of supervision and how Certification is set to increase pressure upon supervisors
  • Links to TCF and wider issues for the firm and senior managers (compliance monitoring and senior managers oversight)
  • Spans of control with difficulties of remote working
  • Supervision in practice - Changing levels of necessary supervision

Assessing competence
  • How to risk access your people using a simple model
  • What should you be doing now with team working remotely

Monitoring competence
  • Benefits of monitoring – how are you doing this remotely
  • Activities which can be used to provide evidence of monitoring and feedback to HR in preparation for Certification

Reviewing performance
  • Using the performance appraisal as part of supervision
  • Using the SMART model to save you time

Developing competence through coaching
  • Coaching– a critical skill in the virtual environment

Review and action plan
  • What do you have to do differently and how will you start (discussion and best practice sharing)
Get this course in-house

Or call 0203 178 4230 or email info@fstp.co.uk today.

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Meet The Tutor

Julia Kirkland
Julia Kirkland
Senior Partner
[Read about...]

Who is this course for?

Anyone working in regulated financial services firms, who is responsible or will be responsible for certificated individuals irrespective of their role. 
'This was succinct and to the point. Very well delivered and useful'

Chief Executive Officer
Investment Management Firm
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