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.