Since launching the Conduct and Culture Academy in 2018 we have coached more than 100 senior conduct leaders from across our membership. The Academy supports members to help them exceed regulatory expectations. It provides delegates with the practical skills needed to effect the changes in conduct risk management and culture required by a regulated firm's board.

The landscape of supervision continues to evolve - especially during the pandemic. To help we have retooled the Academy to meet the challenges faced by all conduct-regulated firms in 2021.

The regulatory focus in 2021

The regulatory focus on conduct and culture is intensifying. This has not arisen solely because of the pandemic but has been either accelerated or crystallised by the disruption to normal working patterns and the economic impact at all levels that have hit hardest the daily lives of ordinary staff and small businesses.

The Academy will address the two most pressing topics facing members as we consider the practical application of conduct and culture in 2021:

  1. Culture Audits: During 2021 regulators in the UK, Singapore and other conduct jurisdictions are rolling out a new supervisory tool: Culture assessments. The response to Covid-19 is a true reflection of the health or otherwise of a firm's culture, in particular the way in which management can monitor and manage remote workers? behaviour. This now does not just mean preventing misconduct, but the FCA in several publications has been pressing for firms to use the pandemic as an opportunity to reinvigorate their purpose - which is key to determining culture.
  2. Remote working: We will examine how remote working has changed each firm's dynamics, notably in how managers interact with staff to guide, support and motivate them. We will share feedback from private research that points to how firms can best apply political advice to the practical task of a potential return to the office. And, we will look at how firms can best engage with technologies to stay resilient in the face of continuing uncertainty. As ever, we also expect to moderate - one of the Academy's main attractions - lively discussion as members compare their firms? varied experiences. For example: how best to reconcile the business need for greater control, surveillance, and productivity against concerns for human risks of staff motivation, mental health and privacy?

About the Academy

The heart of the academy remains unchanged; delegates will experience an intensive programme where they will develop practical skills, frameworks and behaviours to put customers and ethical values at the heart of decision-making, helping them to manage conduct and culture as required by regulators and the board.

Attendance is at two, two-day workshops in April 2021 and May 2021. The workshops are supplemented by highly-focused reading lists and downloadable resources.  Previous delegates have really valued being able to share their individual challenges, in confidence, with their peers and our expert faculty. Delegates can review their experiences, and gain/share practical advice with other senior conduct professionals.

The philosophy of the academy is to assess and respond to the individual needs of the cohort in order to tailor the curriculum to their changing and specific needs.

The Academy brings together:

  • widely informed knowledge of industry best practice in Conduct and Culture reporting;
  • leading-edge research insights, with academic rigour;
  • practitioner expertise and experience.

We combine these to provide a practical programme to embed and report on exemplary conduct and culture in your organisation. The Academy is an academically sound opportunity for your organisation to develop innovative, structured, effective long-term human risk strategies that deliver business value as well as regulatory comfort.

You can download a comprehensive brochure on the Academy here.

Who should attend?

We welcome a range of different job types from your firm to attend the Academy, from senior managers, to compliance to other ?human risk? disciplines, including HR, risk governance, financial crime, and general counsel. 

Booking

If you would like to register for the Academy, please click 'Book Now', or email Training@ukfinance.org.uk, or call the team on +44 20 3934 1197 .

Workshop themes and dates

  1. Enhanced conduct and culture frameworks to embed best practice and drive value - 22 April
  2. Assessing and managing culture ? 23 April
  3. Building better MI for management and reporting ? 25 May
  4. Innovative behavioural initiatives to embed conduct and culture and drive value ? 26 May 

The academy will be repeated in October

Any questions?

A comprehensive brochure on the Academy can be downloaded here. 

Take this training in-house

If you have five or more delegates who wish to attend this workshop, it may be more cost effective to run it in-company. To find out more about in-company training, please contact the team on 0203 934 1197 or training@ukfinance.org.uk.

Dr Roger Miles

Dr Roger Miles

Financial practitioner turned specialist researcher in the field of regulated Conduct

Dr Roger Miles researches human-factor risks among regulated financial providers worldwide, helping steer their responses to new Conduct regulations, ...

Dr Roger Miles researches human-factor risks among regulated financial providers worldwide, helping steer their responses to new Conduct regulations, Culture Audits and capital charges against Reputation Risk. He convenes knowledge sharing groups of senior executives including forums at UK Finance, whose Conduct and Culture Academy he co-founded in 2017.

Following audit practice with PwC he advised the Boards of large publicly listed companies in the UK, EU and US as a partner in investor relations firm Georgeson & Co. He was Director of Communications and Enterprises for the BBA (under Sir Brian Pitman), UK corporate affairs lead at FBE in Brussels, and later a Head of Risk Communications in HM Civil Service, before giving all that up to requalify as a risk psychologist and university lecturer.

He frequently works by invitation directly with firms? senior leaders on in-house initiatives to develop their frameworks for conduct risk and culture.

With research among more than 400 firms participating in UK Finance Conduct sessions since 2016, he has amassed a unique exemplar body of conduct programmes, reporting designs, indicators and definitions. He welcomes sharing these insights with UK Finance attendees, to inform discussions of ?exemplary practice? in measurement and reporting on conduct, culture and reputation.

Session attendees consistently rate him 5* / 95-100% for ?expertise?, ?ease of understanding?, ?open and engaging?, and ?enjoyable experience?. Each year he leads small-group interactive workshops for more than 1000 attested Senior Managers in financial firms; since 2010 he has taught one-to-one or in small groups, 10,000+ leaders and divisional managers in financial, professional and government service.

His research often uses language analytics and specialist 'sensitive topic research? techniques to identify previously unvoiced concerns. These findings, unique to each firm, guide the design of the firm's framework of human-factor risk indicators and reports, encouraging the start of productive ?conduct conversations? at all levels, embedding spontaneous best practice in risk reporting.

He lectures as a visiting SME at business schools in Cambridge and London, and at UK Defence Academy; and moderates cross-industry working groups for Board appointees, Compliance, Legal and HR professionals.

His published work includes the financial sector's popular handbook Conduct Risk Management: A behavioural approach (2017) and Culture Audit: Reporting on behaviour to conduct regulators (2021), which includes chapters co-authored with senior regulators in the UK, EU, US and APAC. (Both titles available to UK Finance session attendees at a special discount). He co-edits the Encyclopaedia of Key Psychology Concepts for the London School of Economics annual Behavioral Economics Guides and is a contributing editor at Thomson Reuters Regulatory Intelligence.

In 2006-7, using live observation and narrative research, he analysed how banks were ?gaming? their public reporting on regulatory capital. King's College London awarded him a PhD for this work, whose theory was validated abruptly when global financial markets crashed in 2008. In 2010 he accurately predicted the change of financial regime to ?behaviour-based regulation?; the UK's Conduct regime launched in 2013 and included core principles he had earlier identified.

Read more
Patrick Butler - Academy

Patrick Butler - Academy

Managing Director of Calitor

Patrick is one of the UK’s leading experts on building effective culture, conduct and risk management practices that underpin value-driven Purpose and...

Patrick is one of the UK’s leading experts on building effective culture, conduct and risk management practices that underpin value-driven Purpose and Strategy in regulated industries. He advises and coaches senior management and boards and works with firms to design and implement innovative operating models and bespoke programmes which drive sustainable value while meeting the latest regulatory standards. He has helped a range of clients introduce cutting edge approaches to regulatory risk, conduct and culture, including Barclays, RBS, TOTAL SA, Natixis, Commerzbank and FinTrU.

As well as working with individual firms, Patrick is also involved with several executive education foundations, as a founder of the UK Finance Conduct and Culture Academy and a Programme Director at CEDEP.

Patrick’s practitioner approach comes from his years in core positions across banking: as an investment banker and operating officer with HSBC Global Investment Banking, and head of EMEA Global Banking Compliance at Bank of America Merrill Lynch. He redesigned the business and operating model of the Barclays Compliance Career Academy, provides global workshop programmes on ethics in the energy Industry, building innovative approaches to conduct risk in digital industries and driving authentic strategies to sustainable initiatives.

He is an adviser to two new ventures looking to lead the transformation of Data Processing and Payments Processing respectively to accelerate the journey to net zero carbon while providing seamless high-performance service.

Before his career in banking, Patrick was a British Diplomat. Patrick received his MBA from INSEAD in 1999.

Read more

The Academy is relevant to all conduct-regulated firms, from retail and small business banking, to loans, mortgages, cards and payments, sales and trading, research, advisory, capital markets, corporate lending, private banking, asset management, wholesale and retail insurance, broking, and related providers such as ?fintech? suppliers and other transaction support services. 

You will benefit from attending if you work within any of the roles listed below:

  • C-Suite and senior managers responsible for strategy or governance who needs to better understand how the new conduct and culture imperatives driven by regulators affect their business objectives and personal accountability under the Senior Managers and Certification Regime (SMCR);
  • A business or desk head who now has greater responsibility for managing conduct and culture in their teams and wants to develop their skills to drive sustainable value through better conduct and client relationships, or to better contribute to their firms? overall cultural or values programme;
  • A leader of human resources or learning and development responsible for driving more effective training and competency regimes aligned with conduct principles, refocussing incentive and leadership programmes and for rebalancing controls relating to codes of conduct or ethics.