Non-Executive Directors & FCA Authorised Firms - Navigating the Role

Introduction

For FCA-authorised firms that require non-executive directors, ensuring they perform effectively is critical for strong governance, risk management, and regulatory compliance.

Likewise, for those already in or considering a non-executive director role, understanding the expectations, responsibilities, and challenges is essential for success.

Not all firms are required to have a non-executive director, and this new virtual classroom seminar also addresses why and how a firm might want to consider that it demonstrates objective challenge.

The session is designed to provide FCA-authorised firms, and both existing non-executive directors and those considering the role, with the essential knowledge and skills to navigate the regulatory landscape.

It will explore the critical role that non-executive directors play in oversight, governance, risk management, and regulatory engagement, providing you with practical guidance to help you to excel within the regulated environment.

The session is suitable for existing and aspiring non-executive directors, boards of FCA-authorised firms, senior managers under the SMCR, as well as compliance and HR professionals working in FCA-authorised firms.

What You Will Learn

This live and interactive course will cover the following:

• The role and responsibilities of a non-executive director
• How the non-executive role fits into the SMCR regime
• What the FCA tells us
• Key challenges of the role
• How to ensure that you have the right fit
• How to prepare for an incoming non-executive director
• The ongoing monitoring of a NED
• What to do when it all goes wrong

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.