Managing and Supervising Staff in Scope of the Conduct Rules - 7 August 2019

8 August 2019 - 1:30pm - 3:30pm BST
Training (London)
ACA Compliance (Europe)
ACA Compliance (Europe) Limited 130 Jermyn Street London SW1Y 4UR
£299 + VAT

Course Overview:

Under the Conduct Rules, those who supervise others are required to manage with skill, care and diligence. This course provides an opportunity for those with supervisory responsibilities to explore the nature of their leadership role, to understand how supervision contributes to business success and to identify some of the key activities which the role demands of them.

Course Objectives:

Attendance at this course will provide you with:

  • An awareness of the expectations that the firm and the regulator place on you as a manager;
  • The ability to recognise how effective supervision contributes to both business and personal success;
  • Some key pointers and tips to assist you in handling a variety of potentially challenging supervisory situations;
  • The ability to identify further personal development needs relating to your managerial and supervisory responsibilities.

Key topics:

  • What the regulator means by managing with skill, care and diligence
  • The key activities and responsibilities of leading a team
  • Identifying some of the principal challenges faced by supervisors and how to address them
  • Motivating and encouraging commitment to corporate values
  • Training, coaching and supporting staff
  • Verifying the competence of a new team member
  • Resolving business performance problems with experienced staff
  • Handling appraisals so as to avoid surprises
  • The supervisor’s responsibilities for notifying performance problems when these arise

Course aimed at: Managers and supervisors who lead (or will shortly lead) teams of certification and/or Conduct Rules staff.

This course can be delivered onsite or as an instructor lead course at a firm’s office.

If you would like to discuss your training requirements in more detail please contact Graham Dix on +44 (0)20 7484 3987 or your usual ACA consultant.