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Academy Course

5 and 6 October 2023, virtual course

COMPLIANCE, CONDUCT AND CULTURE: BUILDING AN EFFECTIVE FRAMEWORK

This interactive course delves into the crucial area for the firms, their boards and regulators. 3Cs: Compliance, Conduct and Culture provides a succinct overview of regulatory expectations and focusses on the practical aspects of developing an effective 3C control framework. Live virtual sessions guide participants on how to define an effective conduct risk framework, evaluate organisational risk culture and understand the implications of failures on the firm’s reputation. The course also features a workshop that explores new and horizon risks that impact compliance, conduct and culture.

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Objectives

  • Understand practical ways of measuring and embedding risk culture

  • Examine new and horizon risks impacting compliance, conduct and culture

  • Find meaningful ways to carry out conduct risk assessment

  • Discuss how to enhance compliance practices in hybrid working environment

  • Create conduct and culture dashboard

  • Perform Reputational risk assessment

  • Consider how employees across the 3 Lines can work effectively to add value

  • Review case studies and engage via live polls

  • Interact with fellow practitioners, benchmark the maturity of your framework with peers

  • Develop a plan on how you will make a difference to your workplace following the course

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WHO SHOULD ATTEND

This is an essential course for risk, control and compliance personnel and for all individuals responsible for implementing and managing control frameworks in their organisations; or those interested to stay current and improve their practices, including:

Operational and Enterprise Risk practitioners

Compliance

Governance and Control

Audit

Directors and senior executives

Individuals responsible for implementing control frameworks or interested to expand their knowledge
Faculty
Elena Pykhova

Elena Pykhova

Risk expert specializing in strategy, design and implementation of firm-wide risk frameworks, based in London, UK. She is a renowned educator, who for many years has run public and in-house training courses in the UK and internationally for world-leading organisations including the London Stock Exchange Group Academy, The Moller Center, Cambridge University and Risk.net. Elena is also a thought leader, influencer and founder of a prominent industry think tank, the Best Practice Operational Risk Forum. She is a former Director for Education at the Institute of Operational Risk and chair of the Operational Risk Expert Panel for the Association of Foreign Banks. Elena founded her training and consulting practice, The OpRisk Company Ltd, after 20 years of experience in senior roles at Fortune 500 companies, such as Citigroup, American Express, Deutsche Bank and Banco Santander.

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