Upcoming Webinar: How to ensure employees meet fit and proper requirements under global accountability regimes
Date: 17 September 2024
Time: 10:00am ET / 3:00pm London / 4:00pm CET
Duration: 50 minutes
Fitness and proprietary requirements for employees of financial institutions are not an option, but a regulatory obligation that calls on employers to regularly assess employees’ honesty, integrity and reputation, competence and capability, and financial soundness. In the UK, these requirements are a core element of the Senior Managers and Certification Regime (SMCR). They are also a factor of accountability regimes in other jurisdictions.
This webinar will review fit and proper requirements, discuss approaches to implementation, and consider how firms can ensure continual assessment of employees as part of compliance processes. It will also touch on the opportunities of getting fit and proper right and the potential damage of a break in compliance.
Register for the webinar to find out about:
- The details of fit and proper requirements
- Regulatory and global accountability regimes
- Best practice implementation processes
- Ongoing employee assessments and compliance
- Benefits of getting it right, penalties of getting it wrong
Speakers:
More about our speakers:
Matthew Harris
Head of Regulatory Conduct
Howden
An experienced conduct risk leader, Matthew focuses on leading firms’ approach to interpreting and implementing regulation and guiding firms through organisational change to ensure a compliant and efficient outcome. Matthew acts as the Head of Regulatory Conduct at Howden, leading the conduct risk teams in supporting multiple entities within Howden in delivering good customer outcomes and ensuring the entities approach to business is both compliant and pragmatic.
Leslie Coombs
Director, UK Senior Managers and Certification Regime (SMCR)
Citi
Leslie Coombs is a Director at Citi and has oversight of Cit’s UK Senior Managers and Certification Regime Framework. Prior to moving to the UK Legal Entity Governance Office at Citi, Leslie worked in the UK Independent Compliance Risk Management (ICRM) function.
Leslie is currently the co-lead for the Personal & Professional Development Pillar of the Black Heritage Network (BHN) UK.
Before joining Citi, Leslie worked at UBS as Global IB and UK Head of Conduct Risk Framework and Head of UK C&ORC Regulatory Governance Office.
Leslie has over 25 years of compliance, consulting, internal audit, and program management experience, previously holding the following certifications: Certified Internal Auditor (CIA) and Certified in Risk Management Assurance (CRMA).
Sinead Egan
Product Manager
MyComplianceOffice (MCO)
Sinead Egan, with MCO since its inception, has over 30 years experience in financial services and software consultancy. She previously worked at INVESO and Fidelity Investments. Sinead holds a BBS from the University of Limerick, is an FCCA Fellow, and has a Professional Diploma in Project Management.
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