Senior management responsibilities online course


This course is aimed at those wishing to get an understanding of the responsibilities that the regulators require senior management in financial firms to undertake. The course will be of particular interest to Approved Persons.

The principal financial services regulators, the Prudential Regulation Authority and the Financial Conduct Authority, require senior management of authorised firms to be aware of what the regulators expect of them and to be able to provide evidence of meeting regulatory requirements, were one or both of the regulators to visit the firm.

Price: £35 + VAT

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What you will gain

This course covers key aspects of senior management responsibilities based on the regulators’ handbooks and public statements made. The material has been aligned with what is generally perceived to be current best practice.

Course content

By the end of this course, you will have a greater understanding of:

  • background to importance of senior management responsibilities
  • governance
  • policy and control framework
  • key functions
  • risk management
  • preventing financial crime
  • capital management
  • Board responsibilities


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  • Corporate and financial reporting
  • Online learning

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