This one-day workshop is an essential training course for any front office control, compliance, operational risk or audit professional looking to better understand the nature of conduct risk and how to mitigate the risks arising.

Learning outcomes: 

  1. Understand in plain English what the UK conduct regulator expects from you

  2. Learn what features of 'good' conduct the regulator looks for, and how to show compliance with these expectations

  3. Discover whether your organisation has the right conduct controls

  4. Ensure you are designing conduct controls you can trust

  5. Identify the predicted future topics of concern for conduct risk using prosecutors' current focal points and, with unique research insights

Course Host: Dr Roger Miles

 

Dr Roger Miles is a top-rated speaker who lectures on conduct risk, behavioural regulation, risk communication and the psychology of risk perception at Cambridge University; the UK Defence Academy and the London Institute of Banking and Finance. Dr Roger Miles provides plain-speaking guides to conduct regulation and behavioural risk, the "do's and don'ts" for practitioners in financial services. 

Dr Roger Miles leads forum groups for the CRO and Conduct principals of many regulated financial firms at UK Finance, where he heads Conduct and Culture indicator research across the sector.  He regularly debriefs with leaders of UKF’s 300+ member organisations on their progress with ‘dashboarding’ behavioural risk factors, guiding as to how to set up indicators to ensure best practice in modern governance of risk. The Boards and ExCos of numerous financial brands also commission him directly to advise on 'risk-aware working'; staff inclusive programmes to protect their social licence, risk governance, Conduct and Culture initiatives.

He lectures on behavioural regulation, risk communication and the psychology of risk perception (Cambridge University; UK Defence Academy; London Institute of Banking and Finance).  Publishers of his research include Reuters, OpRisk, the FT and Berkeley Research.  His latest books are Conduct Risk Management: A behavioural approach (Kogan Page, 2017) and Human Fallibility (Taylor & Francis, in press). 

Previous Attendees

What Did People Say?

“A very worthwhile course.” 

 

Alice Garret, BNY Mellon

 

Download a free chapter of "Conduct Risk Management" by Dr. Roger Miles 

To download chapter 3, entitled "The Onset of Financial Conduct Regulation", just complete the form below. 

 

Intelligence for Risk and Control Professionals

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