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Executive Short Courses

Leaders in Consumer Credit

Man and woman working in a classroom

A half day interactive workshop for leaders in Consumer Credit firms

UK Consumer Credit firms are regulated by the Financial Conduct Authority (FCA). For directors and senior managers of these firms, understanding how the regulation and legislation affects their businesses and their customers is essential. Getting it wrong can have significant implications at both an organisational and personal level and, with the extension of the FCA Senior Managers & Certification Regime to all firms, the responsibilities and potential penalties for business leaders are only set to increase.

This half day, interactive, workshop designed by The Compliance Foundation in collaboration with LIBF and is aimed at existing or aspiring leaders, Senior Managers and Approved Persons of consumer credit businesses who want to gain a better understanding of their obligations and the steps they can take to ensure their business are operating in a compliant manner.

Learning outcomes

Looking at the Consumer Credit industry, attendees will gain an understanding of:

  • the nature and breadth of the industry in the UK
  • the key responsibilities and duties of:
    • The Directors & Non-Executive Directors
    • The Senior Managers
    • The Approved Persons
  • how the industry is regulated (the role of the FCA and other regulators)
  • the legislative background for the regulation of the industry

Who should attend?

  • UK Directors, Non-Executive Directors, Senior Managers and Approved Person of Consumer Credit firms - many of whom will have committed to undergo training as part of their personal development plan submitted to the FCA at authorisation.
  • UK Directors, Non-Executive Directors, Senior Managers and Approved Person of the Consumer Credit arms of larger institutions
  • Those members of staff of a Consumer Credit firm who wish to become a Director, Senior Manager or Approved Person within a Consumer Credit firm

Agenda 

  • What matters to the FCA when it looks at Consumer Credit 
  • What happens if you as a Leader get it wrong – your firms and your personal liabilities
  • What smart Leaders do to discharge their responsibilities
  • What smart Leaders do to maintain an effective compliance culture
  • What structures and resources a smart Leader in Consumer Credit will ensure are in place to create a compliant culture
  • What a smart Leader will do to stay smart and ahead of the game

Course instructors 

Rick Freeman

Rick has an extensive background in the Financial Services industry from Consumer Credit start-ups to multinational Banks and Insurers. A psychologist by background, he specialises in the design, leadership, quality assurance and management of complex regulatory and compliance programmes.  

rickfreeman-web

Previous to co-founding The Compliance Foundation, a consultancy specialised in risk and compliance support, Rick was a Partner at Accenture and a Senior Vice President at Capgemini Consulting where he led the Financial Services business.  He has a real feel for the challenges faced by entrepreneurs and executives in start ups as he himself has set-up and grown his own businesses. 

Rick’s recent experience includes the design, leadership and delivery management of several major compliance transformation programmes for leading Consumer Credit and Investment Platform businesses as well as the design and set up of a new Bank.


Sandra Quinn

Sandra is a leading compliance and regulation expert with a practical, people focused approach. A lawyer by training, she brings a unique blend of legal, regulatory and business experience to her clients.

sandraquinn-webPrevious to co-founding The Compliance Foundation, a consultancy specialised in risk and compliance support, she was a senior regulator with the Financial Services Authority as well as a Risk Director for a major high street bank and acted as Head of Compliance for several digital businesses.

Sandra's extensive regulatory, risk management, compliance, operational and governance experience, enable her to provide specialist support and advice in a simple and practical manner to new and expanding businesses. 

Her recent experience includes the provision of advice to multiple established firms and digital start ups (including many Consumer Credit firms and a start up Bank) on their regulatory responsibilities, processes and controls. 


Dates and location 

Date & Time: 

24 October 2017, 9.30am - 1.30pm 

Location:

The London Institute of Banking & Finance
Peninsular House, 36 Monument Street
London, EC3R 8LJ

Fees and registration 

Register online or contact our events team on +44 (0) 20 7337 6286 or events@libf.ac.uk

Register online

  • Members  £225
  • Non-Members  £250
Registration fee includes all learning materials, lunch and refreshments. 

Multiple bookings and In-house delivery

Discounts are available for group bookings. If you have five or more delegates who wish to attend this course, it may be more cost effective to run it in-house. To find out more about group discounts and in-house delivery, please contact the Events team at events@libf.ac.uk or on +44 (0) 20 7337 6286

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