Course Agenda

Agenda

Previous Course Agenda

Agenda timing is in BST
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Session one - 2pm BST/ 9am EST
Session two - 3.15pm BST/ 10.15am EST
End - 4.15pm BST/ 11.15am EST
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14:0015:00

Building a culture and conduct risk framework

14:00 - 15:00

  • Embedding risk culture into overall corporate culture
  • Building a framework that can be integrated into the fabric of an organization
  • Models and processes for driving behaviour
  • Methods of measurement for culture and conduct
  • Setting a timeline with responsibilities
Tanya Weisleder

global head of conduct risk

Credit Suisse

Tanya joined Credit Suisse in January 2017 from Citi where she spent 16 years in various senior Business, Risk and Compliance roles; her most recent roles included the North America head of conduct risk and head of risk management practices for the US & Latin America International Private Banking Business. 

At Credit Suisse Tanya is the global conduct risk head focused on the continual development of the Global Conduct Risk Strategy. She is a regular speaker on Conduct Risk at the biannual risk.net training industry training forum. Tanya obtained a Masters in International Affairs from Columbia University in New York, NY in May 2000 and a Bachelor of Arts in International Careers from the Lehigh University in Bethlehem, PA. 

15:0015:15

Break

15:00 - 15:15

15:1516:15

Getting culture and conduct right

15:15 - 16:15

  • Defining culture and conduct
  • Risk management objectives for culture and conduct
  • How should roles and responsibilities be assigned?
  • Reinforcing effective cultural risk management
  • Regulatory viewpoint on culture and conduct
Tanya Weisleder

global head of conduct risk

Credit Suisse

Tanya joined Credit Suisse in January 2017 from Citi where she spent 16 years in various senior Business, Risk and Compliance roles; her most recent roles included the North America head of conduct risk and head of risk management practices for the US & Latin America International Private Banking Business. 

At Credit Suisse Tanya is the global conduct risk head focused on the continual development of the Global Conduct Risk Strategy. She is a regular speaker on Conduct Risk at the biannual risk.net training industry training forum. Tanya obtained a Masters in International Affairs from Columbia University in New York, NY in May 2000 and a Bachelor of Arts in International Careers from the Lehigh University in Bethlehem, PA. 

14:0015:00

Key risks surrounding conduct and compliance

14:00 - 15:00

  • Identifying key risks
  • Low to high correlation of risks
  • Cyber risk in respect to remote working and client relations
    • Employee conduct
    • How to supervise and oversee remotely
    • Additional controls and/or monitoring

15:0015:15

Break

15:00 - 15:15

15:1516:15

Role of 3LOD

15:15 - 16:15

  • Regulatory landscape and role of internal audit
  • Principles and framework for auditing culture and conduct risk
  • Practical consideration – scoping and strategy
  • Scenario based examples

14:0015:00

Managing AML/KYC

14:00 - 15:00

  • Overview and relevance to conduct and compliance
  • Miss selling
  • Anti-competitive behaviours
  • Insider and rouge trading
  • Applications of technology to manage KYC/AML
  • Embedding culture and conduct into AML/KYC strategies

15:0015:15

Break

15:00 - 15:15

15:1516:15

External conduct and compliance

15:15 - 16:15

  • Interrelation of internal and external conduct and compliance
  • How companies and firms react to customers
    • Pricing
    • Fair treatment
    • Ibor transition

14:0015:00

Actionable items for conduct risk

14:00 - 15:00

  • Review code of conduct and ethics within your firm
  • 3 pillars of good discussion
    • Tone from the top
    • Mood in the middle
    • Echoes from the bottom
  • Employee surveys
  • Messaging and programs from the top
  • Middle management to bridge the gap
Todd Cheney

managing director, conduct risk

UBS

Senior Risk and Compliance professional with experience covering various business divisions (Asset Management, Wealth Management, and Personal and Corporate Banking) and back office support functions, as well as both designing and implementing frameworks and supporting tools for Operational Risk and Conduct Risk across all divisions and regions. Six Sigma Black Belt certified (Aveta Business Institute), Project Management Professional (PMP), and certified Financial Risk Manager (GARP). Management experience with high competency in communicating to senior management and managing diverse stakeholders to deliver complex and high level messages effectively and convincingly.

15:0015:15

Break

15:00 - 15:15

15:1516:15

Conduct risk from a behavioural science lens

15:15 - 16:15

  • Human component when thinking of compliance
  • Drivers of human decision making
  • Mitigating human risk
Christian Hunt

founder

Human Risk

Christian is the founder of Human Risk, a Behavioural Science led Consulting and Training Firm, specialising in the fields of Ethics & Compliance.
He was formerly MD at UBS where he was head of behavioral science. Christian joined the Firm in Compliance & Operational Risk Control, leading the function globally for UBS Asset Management. Prior to joining UBS, he was COO of the UK Prudential Regulation Authority, a subsidiary of the Bank of England responsible for regulating financial services.