A practical UK aligned course that gives you the knowledge and confidence to screen candidates for FCA regulated roles compliantly, defensibly and to the standard regulators expect.
"We built this course because we've seen firms struggle with FCA screening requirements, unsure whether their checks are robust enough to satisfy the regulator. After nearly two decades working with financial services employers, we know the questions that cause hesitation: what counts as a regulatory reference, how far back to check, when fitness and propriety is genuinely at risk. This course gives you the structured process and the confidence to get it right."
Expert Built FCA Screening Mastery
Developed by Graham and Vivianne Johnson, screening experts with nearly 20 years' experience working alongside financial services firms navigating regulatory requirements. This CPD certified course teaches you to conduct FCA compliant screening that satisfies SM&CR obligations, protects your firm from regulatory risk and ensures every hiring decision is defensible.
Master the complete framework: fitness and propriety assessments, regulatory reference requests and responses, conduct rule verification, criminal record and credit checks, directorship and disqualification searches, and adverse information evaluation. Learn the specific requirements for certified persons, senior managers and conduct rule staff.
Each lesson includes real world scenarios from the Johnsons' experience working with regulated firms, teaching you what to check, when to escalate and how to document decisions that will withstand FCA scrutiny.
Perfect for HR professionals in financial services, compliance officers, recruitment specialists working with regulated firms and screening administrators responsible for FCA compliant onboarding.
Why Choose This Course:
✓ Created by screening specialists with direct FCA sector experience.
✓ Learn to screen to SM&CR requirements, not just understand them.
✓ Practical skills for regulatory references and fitness assessments.
✓ Defensible documentation methods built into every lesson.
✓ Real scenarios from nearly 20 years of screening experience.
Screen to the standard. Satisfy the regulator. Hire with confidence.
Duration: 2-3 hours.
CPD Award: 2 Professional Development Hours.
CPD Certified | Expert Developed | UKRLP Registered Provider.
Why We Built This Course
We created this FCA screening course because most training explains what the regulations say without showing you how to apply them when situations get complicated.
From 2006 to 2024, we operated our own screening businesses and worked directly with financial services firms, banks and insurers who needed to meet FCA requirements. We handled the difficult cases: candidates with historic conduct issues, ambiguous regulatory references, fitness and propriety concerns that required careful, documented judgement calls rather than simple pass or fail decisions.
What Makes This Different
You'll learn how to request and interpret regulatory references correctly. When a gap in employment history requires escalation. How to assess adverse information proportionately against the specific role. What documentation the FCA expects to see if they review your screening files.
Every lesson comes from real scenarios we've handled, the edge cases generic compliance training never covers and the regulatory scrutiny we've helped clients prepare for. You'll gain practical methods, not just theoretical knowledge.
This isn't written by trainers who've read the handbook. It's built by us, practitioners who've screened for FCA regulated firms for nearly two decades. CPD certified, UKRLP registered. FCA screening reality, not theory.
Our courses are independently accredited by a recognised CPD body so every completed module converts into verifiable CPD hours you can record. Registration Number: 0006126
VH Courses is listed on the UK Register of Learning Providers (UKRLP), a public register that confirms our status as a legitimate training provider.
This course explains how to complete FCA screening checks under the Senior Managers and Certification Regime. You will learn how to verify identity, Right to Work and address history, complete detailed employment checks, assess financial soundness, confirm qualifications and obtain regulatory references. You will also learn how to document and assess risk.
The final course summary and certificate section are the final information required to complete before being issued with your CPD Certified Certificate. In this section it explains what you have learned throughout the course and what you are now certified for.
Built for professionals responsible for compliant hiring and vetting in FCA regulated financial services environments.
You manage recruitment for roles that fall under SM&CR and need to ensure your screening process meets regulatory expectations. This course gives you the framework to screen candidates compliantly and confidently explain your process to the regulator.
You're accountable for ensuring your firm's hiring practices satisfy FCA requirements. This course prepares you to review screening files, identify gaps before the regulator does and build processes that demonstrate robust due diligence.
You carry out the day to day checks on candidates for certified and senior manager roles. This course gives you the practical knowledge to complete FCA screening accurately, handle complex cases and document every decision defensibly.