Conduct Risk - NEW

Register Now

27 Mar 2019 London

Special Christmas Offer until 20 Dec £720 + VAT. Regular price £895 + VAT. 10% discount for 3 people.

Register Now

26 Jun 2019 London

Christmas Offer as Above

Course Description

Conduct risk is emerging as a key challenge to many financial companies. With the increased scrutiny of regulators over financial firms, companies have to understand how business conduct can impact them and what practical implications it brings for management and employees. 

Mismanagement of conduct risk can lead to financial and reputational loss for the firm. 

This very practical one day session conducted by a former senior City expert will equip you with a strong understanding of conduct risk and its implications for non-compliance. 

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Book any 2 courses at the same time & save £100 + VAT (in total, not per course)

What Will You Learn

By the end of this course you will develop: 

  • Increased awareness of conduct risk issues and understanding of mitigation strategies
  • Understanding of the regulatory requirements and how the regulator could become involved in misconduct issues
  • Understanding which areas to look at when identifying where conduct risk impacts
  • Ability to clearly define what poor controls might look like and how they can be improved to mitigate conduct risk effectively
  • Ability to take a conduct risk strategy and deliver through a governance and oversight framework
  • Be equipped to proactively engage and consult with senior internal stakeholders around managing conduct risk and deployment of mitigation strategies

Main Topics Covered During This Training

  • Defining Conduct Risk
  • Background and Fines
  • The Regulatory Environment
  • Conduct Risk Strategy, Culture and Governance
  • Getting Your Conduct Journey on Track
 

Who Should Attend

From Banks, Financial Companies, Asset and Fund Management and FinTech Firms

  • Compliance Officers 
  • Conduct Risk Officers
  • Risk Management & Audit
  • COOs
  • Operational Risk Managers 
  • Management
  • Banking Analysts
  • FinTech / RegTech Professionals
  • AML Professionals
  • HR
  • Newly appointed Consultants
Register Now

27 Mar 2019 London

Special Christmas Offer until 20 Dec £720 + VAT. Regular price £895 + VAT. 10% discount for 3 people.

Register Now

26 Jun 2019 London

Christmas Offer as Above

Conduct Risk - A 1 Day Course 

 

Background and Fines 

  • What is misconduct?
  • Examples of poor conduct
  • Why does misconduct happen?
  • Impact on society
 
Defining Conduct Risk
 
  • Provides a clear definition of conduct risk
  • Understand what conduct risk is and the focus areas
 
The Regulatory Environment
 
  • FCA objectives
  • What are the foreseeable outcomes from the regulatory requirements?
 
Conduct Risk Strategy, Culture and Governance
 
  • How company strategy affects conduct risk
  • How risk appetite can affect conduct risk
  • The effect of governance over risk policies can impact conduct
  • Alignment of company culture and behaviours
  • How management of the product lifecycle can impact conduct risk
  • How the ‘voice of the client’ affects conduct risk
 
Getting Your Conduct Journey on Track
 
  • How to mitigate conduct risk through strategy formulation
  • Developing thresholds and actions to manage risk appetite
  • Understand how to implement an effective governance framework
  • Developing a culture which aligns behaviours to mitigate conduct risk
  • Developing formal processes around the product launch, review and demise 
  • Developing effective processes to capture, manage and utilise the voice of the client
Course Director has held a broad range of senior, global roles within HSBC’s Global Banking and Markets division spanning COO, regulatory change, client relationship management as well as risk, control and governance.  In her last role at HSBC, Emma was Global Head of Conduct Risk and Product Governance.  She has seen first-hand the impact of conduct issues on customers, firms and individuals.
 
Prior to HSBC, Emma held various programme management roles at JPMorgan alongside Deloitte Consulting. Emma is now working as a Senior Advisor focused on helping clients mitigate conduct risk issues within their businesses.
 
Conduct Risk - NEW <p>Conduct risk is emerging as a key challenge to many financial companies. With the increased scrutiny of regulators over financial firms, companies have to understand how business conduct can impact them and what practical implications it brings for management and employees.&nbsp;</p> <p>Mismanagement of conduct risk can lead to financial and reputational loss for the firm.&nbsp;</p> <p>This ver ... 1553644800 London