Senior Management Responsibilities & the SM&CR
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 our regulators’ expectations of your firm’s staff in this regard, and explain what employees can do to maintain and improve their firms’ workplace culture.
Who is this for?
This course is suitable for:
- Front and back office staff
- Risk and control staff
- Compliance Officers
- HR professionals
- Advisors
Learning Outcomes
After attending this course, staff will be able to:
- Define diversity and inclusion
- Describe the characteristics of a positive workplace culture
- Explain the regulators’ expectations
- Describe what they can do to maintain a positive workplace culture
Course Details
- What are diversity and inclusion?
- Why are they important?
- The Equality Act
- The clear link to non-financial misconduct
- What does a positive workplace culture look like?
- How to contribute to 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.
