The SMCR Employees eLearning Training helps learners understand how the Senior Managers and Certification Regime (SMCR) applies to day-to-day responsibilities across different roles and functions. It provides guidance on the FCA’s six conduct rules, accountability standards, and their practical application with due diligence and personal responsibility.

The training also helps learners recognise and deter misconduct, stay compliant, and understand the regulatory risks that may arise at both an individual and organisational level. It also explains how to raise concerns through appropriate escalation channels.

Target Audience

The SMCR Employees eLearning Training is ideal for individuals across all FCA-regulated sectors such as Banking and Building Societies, Credit Unions, Investment Firms and Asset Management, Insurance and Reinsurance Firms, compliance and supervisory roles who may, directly or indirectly, influence or transact in situations involving securities or funds.

It is tailored for:

· Senior Managers’ direct reports

· New joiners in FCA-regulated firms

· Support functions such as HR, Finance, IT, and Risk

· Temporary, contract, or outsourced staff

· Employees transitioning into regulated roles

In short, for all employees subject to the FCA Conduct Rules such as customer-facing staff, operations teams, compliance-adjacent roles.

Learning Objectives

By the end of this course, learners will be able to:

· Understand the SMCR structure and the category they fall under

· Know the six FCA Conduct Rules and what each expects of them

· Identify how these rules apply in their daily work

· Learn when to raise concerns and how to escalate them properly