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.

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