AFB Training Workshop: Advanced Level – Looking at Conduct through the Lens of Culture

The Advanced Level – Looking at Conduct through the Lens of Culture course will include an individual discovery call with the course taking place over a morning and operates under Chatham House Rule:

• Pre-call – a 20 minute discovery call with one of our expert facilitators prior to the course to understand delegates conduct concerns and to help tailor the session to delegate needs
• Presentations – our experienced facilitators will bring their insight and expertise to share the latest thinking in identifying, measuring, mitigating and reporting against conduct risk
• Discussion – delegates will share some of their conduct risk challenges with the group and we will explore methods, tools and techniques in response
• Key takeaways – delegates will receive a summary take away, containing core content, models and suggested further reading

The course is designed to support senior executives (including senior risk/compliance staff) with a pre-existing intermediate level of understanding of both conduct risk and culture, to explore their specific conduct risk concerns and build an understanding of how to address regulatory challenge and provide effective insight to the Board and/or senior executives.

Topics

Navigating Conduct Risk & Non-Financial Misconduct

• Latest insights into conduct risk best practice
• Overview of measurement and reporting strategies
• What are the biggest conduct risk challenges facing organisations today?
• How does non-financial misconduct relate to Conduct Risk?

A Holistic Approach

• How do firms take a holistic approach to conduct risk?
• How do firms create an integrated approach to conduct and culture?
• What are the benefits for the business and consumers?

Informing the Board

• What are Regulators likely to challenge firms on in relation to conduct risk?
• What do the Board need to know about Conduct Risk?
• How can you enable the Board to provide effective challenge?

Learning Outcomes

This Advanced AFB Conduct Risk Training Course is designed to support delegates to address their conduct risk challenges and respond effectively to regulatory requirements.

By the end of the course, you should:

• Have a strong understanding of what conduct risk is, how you define, measure and assess conduct risk, and how to influence culture.
• Know what conduct risk means to your organisation and understand the key elements against which you can expect regulatory challenge.
• Have clarity on the steps you need to take to realise the benefits of a holistic approach to conduct and culture on your organisation, including positive differentiation and the impact on consumers.
• Know how to provide Conduct Risk insight to your Board and Senior Executives to enable them to challenge effectively.

Facilitators

Natalie Wharton, Founder and CEO, Wharton BC

Natalie Wharton is a recognised thought leader on culture, conduct risk and leadership regularly taking part in industry panels and masterclasses, including the FCA Culture Sprint and the FCA Panel on ‘Leading healthy cultures in a post-Covid World’.  Prior to setting up WhartonBC Natalie has held positions including Head of Culture Change for Deloitte and Conduct Risk & Culture Director for a range of banks. She has a passion for sharing insights across organisations to create a more ethically sound and resilient financial services industry.

Steve Barnett

Steve Barnett is a Financial Services and regulatory expert with 30+ years of experience in Operational Effectiveness. He played a leading role in the Abu Dhabi Global Market and has supported regulators across a range of disciplines. Steve brings a wide range of experience across market and credit risk, regulation and treasury management. Steve is an Independent Director for a regulated entity in the Middle East and regularly advises them on regulatory and conduct risk matters. Previously Steve was a Partner in a big four consulting firm for over 15 years during which time he led the risk, regulation and compliance consulting practices.

Logistics

Venue:       In-person, Central London venue

Date:          Wednesday 20 November 2024

Time:         08:30 – 13:00 (Registration and light breakfast from 08:00. Lunch 12:30 – 13:00).

Price:        £999 plus VAT (breakfast, snacks, and drinks will be provided throughout the day with an optional buffet).  Course limited to 16 participants

For further information, contact secretariat@foreignbanks.org.uk