Regulator Interview Coaching
Senior Managers are often required to meet with regulators. This can be as a result of a specific incident, such as a customer complaint, part of a specific thematic review or as part of a periodic review of the firm by the regulator.
Whatever the context, it is crucial to get the message across clearly, concisely and confidently.
We offer interview coaching to cover situations where senior managers:
- Require preparation for initial approval interviews; or
- Wish to discuss general interactions with the regulators
- Are concerned about what “reasonable steps” mean in the context of their role.
Because our trainers have worked closely with all types of Board members and senior managers in most types of firms, we are well placed to discuss the “reasonable steps” that should be taken in practice in order to perform a role as a senior manager in a regulated firm.
After attending this course, participants will be able to:
- Handle the technical aspects of a regulatory interview
- Explain the non-technical aspects of such interviews
- Apply the “reasonable steps” needed in the context of their senior management role
This individual coaching session typically involves:
- 45-60 minutes of interview questions in a typically robust interview scenario
- Feedback on both technical and non-technical aspects of the mock interview
- Discussion of the regulators’ interview techniques in conducting a SMF interview
Have the flexibility to deliver your In-House training in-person by one of our trainers at your premises, or virtually via Zoom, Teams or Webex.
Find out more about your Virtual or In-Person training experience below.
Our virtual training courses are designed to be every bit as engaging as our in-person courses. To achieve this, our trainers use market-leading technology and a range of training techniques to ensure high levels of interaction with participants. Courses include the use of:
- Virtual ‘break-out’ rooms: participants are divided into virtual rooms to facilitate small group discussion.
- Polling: multiple-choice questions, answered anonymously, allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to highlight the practical application of theoretical knowledge.
- Messaging: participants can submit questions and comments, either to the whole group or privately to the trainer.
Recording: public course participants have the option to access a recording of the course for one month after the course. In-House clients also have the option to record their training for an additional fee.
On-going Q&A: public course participants can access an ongoing Q&A facility allowing them to ask questions relating to the course.
Our in-person training is delivered face to face at your offices, and includes:
- ‘In-the-moment’ questions & discussions: questions through conversations allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to explore practical application of theoretical knowledge.
- Q&A: participants can ask questions during training, either to the whole group or privately to the trainer.