Conduct and Controls training

Conduct and Controls Training Programme – Executive Summary

The challenge from our clients is to provide a practical training on ‘what good looks like’ in a business-led CIB Conduct and Controls Programme. Strong Controls are a key pillar for establishing high Business Conduct standards. Primary objectives of the training include:

  • Connect with our practitioner colleagues regarding the key building blocks of the Programme – ‘rules or the road’, informing on risk areas, and ensuring a Programme which enables independent oversight.
  • Communicate the elements of a well-structured Programme including designing controls, establishing supervisory procedures, and facilitating outcomes which are informed and transparent.
  • Ensure Controls Officers have a clear understanding of business controls ’best practices’ and can communicate the Programme to all staff and stakeholders.
  • All staff should understand their personal, team and firm responsibilities, output of the Programme, its expectations and oversight.
  • How would your team respond to conduct and controls related questions if they were visited by the Federal Reserve or the FCA?
  • Key areas of focus are identified and presented with real-world examples and challenges. This enables both Senior and Emerging Managers to apply concepts to their own organisation, leveraging core building blocks.

The training will comprise 3 modules, which will include elements directed towards both senior MD/D and Emerging level colleagues. The Programme will be virtually hosted and interactive.

Module 1: Defining the 1LOD Conduct and Controls Programme

  • Controls Design Principles.
  • Linking Controls and Conduct.
  • Key components of the end-to-end Programme across the 3 lines.
  • Controls Design Examples and Discussion.

Module 2: Management and Supervision

  • Conduct Risk and the Roles of COO/Controls Officers.
  • Delegations, Escalation and Information Sharing.
  • Governance and Oversight.
  • Examples and Discussion.

Module 3: Forward-looking Considerations, Scenarios and Global Assessments

  • Emerging Risk examples (i.e. global regulatory impacts, geo-political threats, AI, ESG, Digital Assets.)
  • Ongoing Risk Assessment.

Note: CIB-wide Conduct initiatives are very broad with Senior Management leadership. This training is focused on the links between Controls and Conduct risk management. It is not presenting an organisation-wide Conduct Programme.

If you are interested in hearing more on this programme please contact
Gwen Wilcox on +44 (0) 7867 424 460 or eMail using the button below

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