The Training Environment For Financial Services

Managing and Monitoring Culture - Practical Approaches for Regulated Firms

06 Jul 2022, remote delivery

9:30am to 12:45pm

Course fees: £395.00 + vat per person

Savings for multiple registrations

Outline & Objectives

There can be no doubt UK regulators are determined to drive cultural change in financial institutions. The implementation of the Senior Managers and Certification Regime (SMCR) and ongoing initiatives on Diversity and Inclusion and Consumer Duty place unprecedented pressure on regulated firms to effect and demonstrate real and sustainable cultural transformation and changes in conduct. The challenge, of course, is how to demonstrate all this is happening.

If you are responsible for developing or monitoring culture in your firm, this practical workshop will examine both the practical steps to managing and developing a healthy and coherent culture and methodologies for monitoring, measuring and auditing culture to enable firms to benchmark progress.

Specifically, attending will help you:

  • Identify practical steps to embed culture in management structures, processes and decision making
  • Address the cultural challenges of remote and hybrid working
  • Consider how to develop credible cultural MI
  • Conduct effective cultural audits
  • Benchmark your firm’s progress against industry standards and regulatory expectations

Who will benefit?

This workshop is designed primarily for Human Resources, Risk and Compliance specialists, as well as Senior Managers (SMFs) with direct responsibility for culture. The programme is equally relevant for those working in solo or dual regulated firms

Training Approach

This course will be delivered live online. Delegate numbers will be limited to ensure a high quality learning experience.

Course Presenter

Charles Cattell is a consultant and trainer with expertise across the financial services sector. He advises, trains and develops a broad range of financial services clients and their senior managers on the human aspects of regulation with a focus on managing people risk, developing competence and the enhancement of corporate culture. His clients include banks, product providers, intermediaries and insurers with whom he works at a senior level on learning, leadership, regulatory and corporate governance issues. Charles also works extensively with trade associations, examining bodies and regulators, whom he has advised on competence and professionalism issues. He is a Chartered Fellow of the CIPD, a Chartered Member of the CISI, a Chartered Insurance Practitioner and Associate of the CII.

Course Programme

Session Content
Culture in practice
  • Establishing the business model and determining the risk appetite
  • Setting management tone
  • Effectiveness of governance and the contribution of NEDs
  • Ownership of culture
  • Determining operational oversight of culture (who actually makes things happen)
  • Culture as part of assessing fitness and propriety
  • Culture and the Conduct Rules
  • Culture and the employee value proposition
Operational realities in 2022
  • Delivering Diversity and Inclusion
  • Developing culture and the challenges of hybrid working
  • Maintaining corporate and team culture when working remotely
Getting culture talked about
  • The culture conversation
  • Culture as risk management and human resources constructs
  • Discussion topics on the dashboard
  • Trust and communication
  • External factors
Internal and external evidence of a firm's culture
  • Credible culture metrics for management reporting
  • Culture assessments and audits to determine progress
  • Measuring headway with diversity and inclusion
  • Benchmarking progress

This course can be delivered in-house at a time and location to suit your business and tailored to suit your people and organisation. We can also create bespoke training when something very specific is needed.Please contact us to discuss your requirements in more detail and at no obligation.

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