Financial Crime: Identifying, Assessing and Mitigating Risk
Overview
Diversity and inclusion (D&I) continue to be important topics within our society, and financial services regulators have expressed a view that a lack of D&I has caused or exacerbated several challenges in the financial services sector.
Our regulators believe that greater levels of D&I within a corporate environment can contribute towards a number of positive outcomes, such as a happier workplace culture, greater psychological safety, an improved talent pool, greater innovation and challenge, freedom to express one’s views and a more balanced attitude to risk management. Regulators see this as having a significant idiosyncratic effect within individual firms, but also causing a systemic effect of protecting consumers, enhancing competition and enhancing market integrity.
This course aims to define diversity and inclusion, explain what a positive workplace culture looks like, outline regulators’ expectations of senior management in this regard, and explain what Senior Management should be doing to ensure that their firm maintains a positive workplace culture.
Who is this for?
This course is suitable for:
- Board members
- Other senior staff occupying a Senior Management Function
- Compliance Officers
- HR professionals
- Advisors
Learning Outcomes
After attending this course, participants will be able to:
- Define diversity and inclusion
- Describe the characteristics of a positive workplace culture
- Explain the regulators’ expectations of senior management
Course Details
- What are diversity and inclusion?
- Why are they important?
- The Equality Act
- Regulators’ expectations of Senior Management
- The clear link to non-financial misconduct
- What does a positive workplace culture look like?
- How to build a better D&I culture
- Case studies
Delivery
Have the flexibility to deliver your In-House training in-person by one of our trainers at your premises, or virtually via Zoom, Teams or Webex.
Find out more about your Virtual or In-Person training experience below.
Virtual Delivery
Our virtual training courses are designed to be every bit as engaging as our in-person courses. To achieve this, our trainers use market-leading technology and a range of training techniques to ensure high levels of interaction with participants. Courses include the use of:
- Virtual ‘break-out’ rooms: participants are divided into virtual rooms to facilitate small group discussion.
- Polling: multiple-choice questions, answered anonymously, allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to highlight the practical application of theoretical knowledge.
- Messaging: participants can submit questions and comments, either to the whole group or privately to the trainer.
Additional Benefits:
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Recording: public course participants have the option to access a recording of the course for one month after the course. In-House clients also have the option to record their training for an additional fee.
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On-going Q&A: public course participants can access an ongoing Q&A facility allowing them to ask questions relating to the course.
In-Person Delivery
Our in-person training is delivered face to face at your offices, and includes:
- ‘In-the-moment’ questions & discussions: questions through conversations allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to explore practical application of theoretical knowledge.
- Q&A: participants can ask questions during training, either to the whole group or privately to the trainer.
