UK Senior Managers and Certification Regime (SM&CR) Corporate Training
Instructor-led SM&CR training that builds accountable senior managers, confident certification staff, and audit-ready records.
Develop your team's SM&CR capability with Edstellar's instructor-led corporate training program. Learn how Senior Manager Functions, Statements of Responsibilities, the Conduct Rules, and the annual certification cycle fit together, then practice them in guided labs built around your firm's own documents. As a corporate training company with 5+ years of experience, Edstellar helps your team embed accountability that satisfies supervisors.
Instructor-led group trainingVirtual / on-site / off-site10 languagesDelivered inEnglish, Spanish, Mandarin, German, Arabic, Portuguese, Hindi, French, Japanese, Italian100+ countriesWe have delivered inUnited States, United Kingdom, India, Canada, Germany, France, Netherlands, UAE, Saudi Arabia, Singapore, Australia, Japan, Brazil, South Africa and 90+ more countries
How we build an SM&CR-ready team
The Edstellar SM&CR COMPLIANCE Capability Model
Map accountability gaps
Diagnose how responsibilities, SMFs, and certification records are handled across your teams today.
Standardize key documents
Define consistent Statements of Responsibilities, responsibility maps, and certification checklists.
Practice in guided labs
Teams draft SoRs, assess fitness and propriety, and run certification workflows in instructor-led labs.
Measure the lift
Test accountability understanding and certification accuracy before and after the program.
Scale across teams
Roll templates, maps, and routines out to every certified population and senior manager cohort.
Need more than one program?Get a group quote
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Program Overview: What is UK Senior Managers and Certification Regime (SM&CR)?
UK Senior Managers & Certification Regime (SM&CR) is Edstellar's instructor-led program for senior managers, compliance officers, and HR leaders at FCA-regulated firms. Participants work through SM&CR scope, senior management functions, Statements of Responsibilities, Conduct Rules, and certification for fitness and propriety. The theme is accountability: everyone knows what they own, and it is written down.
Training is hands-on across 24 hours and six modules. Teams draft Statements of Responsibilities for realistic senior manager profiles, run certification assessments, and build conduct rule breach workflows with instructor coaching at every step. Every exercise is reviewed with direct feedback, so participants learn what defensible accountability documentation actually looks like. The program closes with a five-hour capstone: a complete end-to-end accountability pack for a simulated firm.
Under SM&CR, accountability cannot be vague: the FCA expects named individuals, documented responsibilities, and evidence that conduct rules are lived, not laminated. Firms discover their gaps when a breach lands and nobody can show who owned what. This program teaches your team to build the accountability architecture deliberately, from SoRs to certification records.
The capstone asks each team to assemble the full accountability pack for a simulated firm: responsibility maps, Statements of Responsibilities, conduct rule attestations, certification files, and the reporting lines that tie them together. Reviewers challenge it with the awkward realities, a departing SMF, a conduct breach, a certification that should have been refused. The team leaves with a pack format they can build for their own firm, tested against the scenarios that usually expose the gaps.
Beyond the rules themselves, the program focuses on day-to-day work: drafting documents that satisfy supervisors, running certification checks on schedule, and keeping records that evidence accountability. Your team leaves with templates, routines, and the skills to keep the regime running.
What's Included in this Workshop for Your Enterprise Teams
- 1
SM&CR scope and timelines
Who the regime covers and when obligations apply.
- 2
SMF mapping labs
Match roles to Senior Manager Functions in labs.
- 3
SoR drafting practice
Write clear Statements of Responsibilities.
- 4
Certification workflow labs
Run fitness and propriety checks end to end.
- 5
Capstone accountability pack
Build an audit-ready accountability pack.
- Instructor-led sessions scheduled around your team
- Hybrid delivery: virtual, onsite, or a mix
- Flexible batch scheduling across time zones
- Cohort sizes set for your group
- Digital workbook and templates for every learner
- Post-training support after the program ends
Build your team's skills. Anywhere in the world.
Real-world use cases
from day one
Instructor-led training
for your teams
Delivered globally
in 100+ countries
Enterprise Training Solutions Customized for Your Company
One partner for instructor-led corporate training, delivered the way your teams work.
Request a Training Quote- Customized Training Delivery
- Scale Your Training: Small to Large Teams
- In-person Onsite, Live Virtual or Hybrid Training Modes
- Plan from 2000+ Industry-ready Training Programs
- Hands-On Labs on Live Infrastructure, Led by Industry Experts
UK Senior Managers and Certification Regime (SM&CR) Course Topics and Program Outline
A tailored 24-hour, six-module workshop: one learning journey from SM&CR foundations to a capstone accountability pack. Sessions pair concepts with labs on SMF mapping, SoR drafting, and certification checks.
Built by Edstellar with regulatory compliance practitioners
Built by practitioners who implement SM&CR accountability frameworks in regulated firms, shaped around your teams and use cases.
We review your current SMF allocations, Statements of Responsibilities, and certification records to find gaps.
Instructor-led sessions cover SMFs, Conduct Rules, and the certification cycle with worked supervisory examples.
Your team drafts SoRs, assesses fitness and propriety, and runs certification checks in instructor-led labs.
Teams build an audit-ready accountability pack and run a full certification cycle in the capstone.
From SMF mapping to a capstone accountability pack, every obligation is practiced in guided labs.
Delivered as
Delivered as a hybrid program of live instruction and guided labs, scheduled around your team's calendar in flexible batches.
Map your firm's in-scope senior managers and certification staff.
learna)Origins of the regime: from the Parliamentary Commission on Banking Standards to the 2016 rollout
b)Which firms are in scope: banks, insurers, and solo-regulated firms
c)The three pillars: Senior Managers, Certification, and Conduct Rules
d)How the FCA and PRA divide supervisory responsibilities
Match sample roles to SMFs and outline a responsibilities map.
learna)Senior Manager Functions: the SMF map and common functions
b)Prescribed Responsibilities and Overall Responsibilities
c)Drafting Statements of Responsibilities (SoRs)
d)Management Responsibilities Maps: what good looks like
e)Notifying the regulator: appointing and withdrawing senior managers
Work through conduct breach scenarios and reasonable-steps assessments.
practicea)The five individual Conduct Rules for all staff
b)The four senior manager Conduct Rules (SC1 to SC4)
c)The duty of responsibility: taking reasonable steps
d)Applying the rules: notifications and breach scenarios
Complete a full fitness-and-propriety assessment and certification file.
practicea)Who counts as certification staff in your firm
b)Fitness and propriety: honesty, competence, and financial soundness
c)The 12-month certification cycle and its documentation
d)Regulatory references: requesting and giving references
e)The Financial Services Directory and record-keeping
Build a notification and record-keeping pack for a sample change.
applya)Control frameworks: embedding accountability in governance
b)Record-keeping obligations and audit trails
c)Regulatory notifications and reporting to the FCA
d)Preparing for supervisory reviews and audits
Deliver a complete, audit-ready SM&CR accountability pack for review.
applya)Design a full SM&CR operating model for a sample firm
b)Produce SoRs, responsibilities maps, and certification schedules
c)Run a simulated breach: notifications, references, and remediation
d)Instructor review and audit-readiness feedback
Customize this program tailored to your team?
Tell us your training needs: what your team already works with, the level they’re at, and the topics you want them to focus on. We’ll adjust the modules, duration and hands-on labs, and send you a customized outline for your group.
Key Skills and Outcomes Your Team Will Gain
What your team will be able to do after the program: map functions, draft documents, run certification checks, and evidence accountability.
Map SMFs to roles
Match Senior Manager Functions to your firm's actual roles and responsibilities.
Draft SoRs with confidence
Write clear, defensible Statements of Responsibilities for senior managers.
Apply the Conduct Rules
Interpret individual and senior manager Conduct Rules in day-to-day decisions.
Run certification checks
Assess fitness and propriety and document the annual certification cycle.
Use regulatory references
Request, give, and record regulatory references correctly.
Build responsibility maps
Maintain Management Responsibilities Maps that evidence clear accountability.
Prepare for FCA reviews
Assemble audit-ready records for supervisory reviews and audits.
Teams that Benefit from this UK Senior Managers and Certification Regime (SM&CR) Group Training
Built for the functions that own SM&CR day to day: compliance, risk, legal, and audit teams in FCA and PRA regulated firms. Each cohort works on its own accountability documents and certification workflows, and content adapts to role and experience so every team practices the workflows it owns.
Own the certification cycle with confidence
Compliance owns SM&CR operations: certification checks, regulatory references, and notifications. This program builds the routines that keep every obligation on schedule.
Workflow friction
- Certification deadlines slip across teams
- References requested too late or incomplete
- SoRs drift from actual responsibilities
How the program helps
- Run the annual certification cycle without gaps
- Standardize SoRs and responsibility maps
- Keep notifications to the FCA on time
Practice use cases
- certification scheduling labs
- reference request drills
- SoR review exercises
Embed accountability in control frameworks
Risk teams link SM&CR accountability to control frameworks and governance. The program shows how responsibility maps strengthen controls and evidence ownership.
Workflow friction
- Accountability unclear in control failures
- Ownership gaps between first and second line
- Maps not updated after reorganizations
How the program helps
- Tie responsibility maps to control design
- Trace issues to accountable owners fast
- Evidence governance in control testing
Practice use cases
- control mapping labs
- ownership tracing drills
- governance review exercises
Advise on duties and enforcement exposure
Legal advises on the duty of responsibility, Conduct Rules, and enforcement exposure. The program sharpens advice on reasonable steps and notification duties.
Workflow friction
- Ambiguity over individual liability
- Breach notifications drafted under pressure
- Records weak when regulators ask questions
How the program helps
- Advise confidently on reasonable steps
- Assess enforcement exposure in breaches
- Draft notification wording that holds up
Practice use cases
- duty of responsibility labs
- breach notification drills
- enforcement example reviews
Audit accountability with evidence
Audit tests whether SM&CR works in practice: documents, cycles, and records. The program builds the audit trails and evidence standards reviewers expect.
Workflow friction
- Certification evidence scattered or missing
- SoRs not matched to actual duties
- Record-keeping inconsistent across teams
How the program helps
- Test certification files for completeness
- Verify SoRs match real responsibilities
- Build audit trails regulators trust
Practice use cases
- certification file audits
- SoR verification drills
- record-keeping reviews
Cohorts train as a cross-functional workforce, with each small group aligned on shared accountability and certification standards.
Prerequisites: This program suits compliance, risk, legal, and audit professionals in UK regulated firms, from new joiners to senior managers. No prior SM&CR experience is needed; familiarity with financial regulation helps but is not required. Each cohort's labs adapt to your firm's structure, documents, and tools.
Governance Analyst to SM&CR Program Lead
Tracks how governance professionals progress from basic SM&CR awareness to advanced accountability ownership across the program's learn, practice, and apply phases.
A program that grows with governance careers, from first SoR draft to confident SM&CR ownership.
Different Teams, Locations, Time Zones, or Languages? We've Got You Covered.
Whether your teams are spread across countries, time zones, languages, or experience levels, we deliver tailored training programs that ensure a consistent learning experience across your global workforce.
Certificate of Training Completion.
On successful completion, employees receive an Edstellar course completion certificate, recognizing their commitment to ongoing learning and professional development. It validates the skills they have built and motivates them to keep growing and contribute to organizational success.
Earned, not attended. Awarded on completion of all hands-on labs and the capstone project.
Training Delivery Modes: Onsite, Virtual and Hybrid
Every session is instructor-led and customized to your firm's SM&CR documents. Choose the delivery mode that fits your teams.
Onsite Training
Run the full program at your office with the instructor on site, so teams workshop real SoRs and certification files together.
- Instructor on site for all six modules
- Workshop your actual accountability documents
- Small groups for detailed document review
- Capstone presented to your stakeholders
Live Virtual Training
Join live virtual sessions with the same labs and instructor interaction as onsite, with digital workbooks and templates for every learner.
- Live virtual sessions with real-time Q&A
- Guided labs in shared digital workspaces
- Digital workbook and templates included
- Recordings and materials for revision
Hybrid Training
Blend live virtual sessions with onsite labs so distributed teams practice SM&CR workflows together, with the capstone run as an onsite build.
- Live virtual instruction plus onsite lab days
- Labs on your firm's own SM&CR documents
- Flexible scheduling across time zones
- One capstone accountability pack per cohort
Need a customized training format that works for your team?
Our training delivery is customized to your team's schedule, full days, half days, sessions spread across weeks, or modular formats. Share your preferred timeline, and we'll plan the training around it.
Frequently Asked Questions
Share your team size, locations, and timelines through the form below. We send a tailored proposal with batch options and pricing.
Yes. A short discovery call helps us understand your SM&CR documents, team roles, and goals before we finalize the plan.
Yes. Live virtual sessions run with the same instructor-led labs and materials as onsite, across time zones.
Yes. Onsite delivery brings the instructor to your office so teams can workshop real accountability documents together.
The program runs 24 hours across six modules, scheduled in flexible batches around your team's calendar.
Question not answered here?
Put it in the request. A training specialist answers it directly, within one business day.
Where this Training Fits in Your Team's learning path.
SM&CR assigns personal accountability for how firms manage risk and conduct, so your team frames enterprise risk and conduct risk first. This course covers the regime itself. The last step moves into one key accountable role: the MLRO under the UK Money Laundering Regulations.
FRAME RISK IN FINANCE
Enterprise Risk Management for Financial Institutions Training
Frames risk appetite and governance in financial institutions, the structure SM&CR makes individuals accountable for.
MANAGE CONDUCT RISK
Conduct Risk & Consumer Protection Corporate Training
Manage conduct risk and consumer outcomes, which senior managers must evidence under SM&CR.
MEET SM&CR
UK Senior Managers & Certification Regime (SM&CR) Training
Apply SM&CR: senior management functions, statements of responsibilities, the duty of responsibility, certification and conduct rules.
TAKE ON MLRO DUTIES
UK Money Laundering Regulations & MLRO Duties Training
Take on MLRO duties under the UK Money Laundering Regulations, a role closely tied to the SMF17 function under SM&CR.
More related courses
Why Choose Edstellar as Your UK Senior Managers and Certification Regime (SM&CR) Corporate Training Provider
When comparing providers, Edstellar is the training partner teams choose for governance expertise and 5+ years of corporate training experience. Our methodology blends concise instruction with guided labs, and we share each trainer profile before booking.
EXPERT TRAINERS
YEARS DELIVERING
ORGANIZATIONS TRAINED
CERTIFIED
Tailored
Every cohort's labs, examples, and exercises are tuned to your firm's SM&CR documents, structure, and certification workflows.
Proven Methodology
A learn-practice-apply sequence refined over 5+ years of corporate training, with assessments before and after each program.
Practice-Based Learning
Teams draft SoRs, assess fitness and propriety, and build certification files in instructor-led labs, not lectures.
Expert Trainers
Practitioners who have run SM&CR programs inside regulated firms lead every session and review your capstone.
Global Scale
One consistent SM&CR program delivered across regions and time zones, with flexible batch scheduling for every cohort.
Measurable Outcomes
We track accountability understanding and certification accuracy from baseline to capstone, and report the lift.
Make SM&CR Accountability Clear Through Responsibilities, Conduct, and Certification Evidence
Edstellar develops practical SM&CR understanding through the records that connect roles with accountability. Participants map senior management functions, draft responsibilities, and examine conduct and certification cases. A complete accountability pack demonstrates how they maintain coherent ownership, review evidence, and document changes, with feedback on clarity, consistency, and governance traceability.
- Step 01
Consult
We review participants' governance and compliance responsibilities, identifying gaps in regime scope, senior management mapping, Statements of Responsibilities, conduct assessment, and certification or change records.
- Step 02
Plan
We establish SM&CR scope and senior management functions, develop responsibility statements, then connect conduct and certification processes with governance records in an end-to-end accountability pack.
- Step 03
Align
We align regulated-firm governance expertise with compliance, legal, HR, and management roles, adjusting discussion to participants' involvement in accountability mapping, certification reviews, and record maintenance.
- Step 04
Customize
We tailor a fictional firm's role structure and management-change scenarios, using sample evidence to examine responsibility boundaries and certification workflows without making decisions about actual employees.
- Step 05
Execute
Participants map functions, draft responsibility statements, and build notification and record packs, receiving feedback on overlapping duties, conduct reasoning, evidence completeness, and change traceability.
- Step 06
Evaluate
We assess the accountability pack for unambiguous role ownership, consistent responsibility records, reasoned conduct and certification analysis, and a clear record of changes and review actions.
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Start an RFP shaped to your needs.
Answer three quick questions about team size, scope, and how often you need the program run, then send the request from the last step. Everything you choose travels with it, so you only fill this in once.
How many team members need training?
UK Senior Managers & Certification Regime (SM&CR) Training Packages & Pricing
Where L&D holds an annual budget, license packages price the whole year at once instead of raising a purchase order per workshop. Hours and licenses are pooled across teams, programs and locations, so unused capacity is not stranded in one department.
Starter
120
trainee licenses64 hours of group training
Tailored for SMBs
Growth
320
trainee licenses160 hours of group training
Ideal for growing SMBs
Enterprise
800
trainee licenses400 hours of group training
Designed for large corporations
Custom
Unlimited
trainee licensesDuration set by the rollout
Multi-region and multi-year
Training Packages & Pricing
Choose the training format that works for your team. Pricing is customized based on your requirements, cohort size, and delivery needs.
Request a Quote for UK Senior Managers and Certification Regime (SM&CR) Training for Your Team
Share your team size, SM&CR documents, and timelines to receive a tailored training plan and quote. Book a discovery call to discuss your goals.