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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:
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:
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
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.
WORKSHOP ONE – Enhanced Conduct and Culture frameworks to embed best practice and drive value
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Workshop Detail
WORKSHOP TWO – Assessing and Managing Culture
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Workshop Detail
WORKSHOP THREE – Building better MI for management and reporting
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Workshop Detail
WORKSHOP FOUR – Innovative behavioural initiatives to embed conduct and culture and drive value
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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, 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.
Managing Director of Calitor
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: