FCA Senior Management

FCA Senior Management

FCA senior management, SM&CR

March 2016 saw the introduction of the PRA and FCA Senior Management and Certification Regime (SM&CR) for the banks. SM&CR will apply to all firms from the 10th December 2019. Until then, it sits alongside the existing Approved Persons regime for solo-regulated FCA authorised firms until they all merge. These changes present wide-ranging challenges for smaller firms and individuals alike.

As the author of the CII’s level 6 study text on Senior Management and Supervision (AF6), Ian Patterson is ideally placed to develop the people oversight skills and processes that FCA regulated firms will be expected to have and be able to demonstrate.

Our solutions cover four main areas:

FCA/PRA Regulatory audit and consultancy

We provide focused and tailored senior management and executive development. Our FCA Senior management solutions are targeted to meet the needs of individuals, teams, and organisations.

Our expertise may enable firms to:

  • Demonstrate the competence and capability of FCA senior management within the business to meet regulatory requirements – both current and future (perhaps due to acquisition or growth)
  • Ensure suitable processes and controls meet FCA/PRA requirements and enhance the effectiveness of businesses
  • Provide senior management briefings / conduct senior manager CPD updates
  • Manage talent: succession, new-to- role, leadership development
  • Implementing

Click here to see our blog on SM&CR

T%C Supervision

FCA Senior Management and executive development

These one day programmes provide the starting point to developing individual or team awareness and skills. These courses are available only on an ‘in-house basis’, not as public courses.
Executive courses

T%C Supervision

Diagnostic tools

The effective development of FCA senior management starts by building self-awareness.

We use a suite of proven diagnostic tools that enable individuals, teams and organisations to obtain a valuable insight into their current position and to measure ongoing changes. Completed on-line, these tools include:

  • Leadership Emotional Capital Report (ECR) – Leaders need to bring people with them; in other words, leaders need followers.  This ability to relate to others is referred to as emotional intelligence (EI).  This profile benchmarks the EI of a leader to thousands of senior managers in other firms around the world.
  • 360 appraisals – this consists of a series of competency and skills based questions in relation to an individual. Their self-assessment is compared to feedback from the team, peers and even customers (if required).
  • Teamindex360– this focuses on achieving results through the team. Again, individual self-assessment is compared to feedback from the team members, and peers.
  • Culture assessment – coming soon, this looks at what culture is, positive and negative influences, and the contribution played by the leadership team and staff in shaping it.

T%C Supervision


Individual or specialist needs often require a bespoke or individual solution. Delivered by qualified coaches, our coaching solutions can be tailored to meet your needs face to face and/or by telephone. This service includes a complementary 20 minutes ‘chemistry session’ so you get to know our style and we get to understand your needs better without obligation. Click here for details of executive coaching

To discuss your needs further, contact us by email to arrange a call at a convenient time.