Conduct Risk Management – 2 Day Masterclass
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PROFESSIONAL PROFILE SUMMARY
Experienced international banker and corporate trainer with 25 years of diversified experience in the field of banking & risk management
Involved in several international advisory, consulting and training assignments to deliver risk management transformation across the Middle East and Australian banking & financial services sector.
An exceptional communicator with a track record in enhancing organizational risk management maturity through best practice tools, methods, learnings supported by global case studies on risk management failures.
Work engagements involve but not limited to risk management assignments with leading Australian & Middle East banking institutions including the Commonwealth Bank, Westpac Bank, Al Rajhi Bank, Riyadh Bank and Banque Saudi Fransi and combined with several years of risk management consulting and training engagements at client sites across SIngapore, Dubai, Saudi Arabia, Muscat & Australia
Overview
CORPORATE PROFILE
Know Your Risk (KYR) Training & Learning Solutions is a boutique international specialist risk management training organization catering to the training requirements for corporate and institutional clients in the field of risk management. All training programs are tailored and designed by sourcing information and knowledge from global best practices in risk management. Programs being delivered by KYR Training & Learning solutions include two, three, four and five day programs that are delivered either as onsite or via remote learning. Programs on various risk management topics involving Operational Risk, Fraud Risk & Conduct Risk have been successfully delivered by KYR Training & Learning Solutions to international banking and financial services clients onsite in Dubai, SIngapore, Australia and Muscat with further international trainings planned for delivery internationally across multiple locations.
Purpose
COURSE OVERVIEW & INTRODUCTION
Conduct risk has become a top priority for boards of financial institutions globally. But what is conduct risk? Essentially, it refers to how firms and their staff conduct themselves – including how customers are treated, how staff are remunerated and how conflicts of interest are addressed. Losses associated with or attributable to conduct risk around the world have far exceeded credit risk and market risk losses over the past few years.
With an increased focus on managing business conduct by regulators in many jurisdictions, financial firms are closely scrutinizing what conduct risk means in practice to them. As a result, firms need to understand how business conduct impacts on their business, their employees, their customers and the market in which they operate
Benefits
COURSE BENEFITS
You will look at the key terminology and develop skills that will help you recognise good and poor conduct. You will explore key regulatory developments that affect your firm and your stakeholders and will gain an understanding of how to react.
You will also gain a valuable insight into how a regulatory conduct framework works in practice
EMPOWER YOUR BUSINESS
SCHEDULE
MORNING SESSION
Session 1: INTRODUCTION TO CONDUCT RISK, COMPONENTS, DRIVERS & IMPLEMENTATION CONSIDERATIONS
- a. Introduction – Why is Conduct Risk in the
Spotlight? - b. Definition and Concept of Conduct Risk
- c. Conduct Risk Components
- d. Relationship between Conduct and Culture
- e. What drives Conduct risk? Eight Key Conduct Risk Drivers- A Detailed Look into the Drivers
- f. Main steps in Conduct Risk Institutionalisation
- g. Foundation Elements of a Strong Risk Culture
AFTERNOON SESSION
Session 2: CONDUCT RISK FRAMEWORK & POLICY, ITS COMPONENTS, CONDUCT RISK APPETITE, ROLE OF TECHNOLOGY & OPERATIONAL RISK
- a. Defining the Scope for an Enterprise Conduct Risk Framework
- b. Conduct Risk Framework Components & Implementation
- c. Role of Technology and how technology can help in better managing Conduct Risk
- d. Recent Costs of Remediation due to Conduct Risk Failures
- e. Conduct Risk Appetite – Is there an Optimal Level for Conduct Risk?
- f. How can Operational Risk play a role in
Conduct Risk Enforcement and Managament
MORNING SESSION
Session 3: REGULATORY LANDSCAPE AROUND CONDUCT RISK – TRENDS AND KEY DEVELOPMENTS
- a. Regulatory landscape around conduct risk
- b. Enforcement for misconduct by Top 15 Global Regulators (2012-2018)
- c. Top three sectors most frequently fined for misconduct
- d. Frequency of financial penalties for misconduct by Service Line
AFTERNOON SESSION
Session 4: CASE STUDIES ON CONDUCT RISK: Key Misconduct Events and its Relationship to Conduct Risk
- a. The Case of Wells Fargo
- b. Australian Royal Commission Investigations into Misconduct
- c. LIBOR manipulation
- d. PPI Misselling (UK)
- e. Conduct Risk Workshop – What are the lessons learnt from the case studies
Session 5: MANAGEMENT OF CONDUCT RISK
- a. Controls and Effective Strategies for Mitigation and Management of Conduct Risk
- b. Internal Audit’s role in Conduct Risk
- c. Tools for Firms/Organisations mitigating Cultural Drivers of Misconduct
- d. Best Practices for managing conduct risk
- e. Closing Remarks & Conclusion
Know Your Risk (KYR) Training & Learning Solutions
Know Your Risk (KYR) Training & Learning Solutions
Know Your Risk (KYR) Training & Learning Solutions
Know Your Risk (KYR) Training & Learning Solutions
Know Your Risk (KYR) Training & Learning Solutions
Know Your Risk (KYR) Training & Learning Solutions
Know Your Risk (KYR) Training & Learning Solutions
Know Your Risk (KYR) Training & Learning Solutions
Know Your Risk (KYR) Training & Learning Solutions
Wonderful experience!
A very informative operational risk program. The training delivery method was the best I have witnessed
Muaiyed Khamees
Saudi Aramco
Wonderful experience!
Excellent training on operational risk. I enjoyed the case studies and interactive discussions from the trainer.
Nawal Baddar- Arzan
Financial Group - Kuwait
Wonderful experience!
I learnt a lot about Operational Risk in the CORP program. The trainer was excellent!
Aljoharah AlDekhayel - Public Investment Fund (PIF)
Saudi Arabia
Wonderful experience!
I enjoyed learning all the new concepts on Operational Risk. I really liked the Trainer and his method of teaching.
Wehaibi Hamdan
AlWehaibi - Bank ABilad, Saudi Arabia
Wonderful experience!
M.Salman Khan as a Trainer was excellent in the way he provided real examples on operational risk failures and especially how banks should manage operational risk. I enjoyed this training a lot.
Abdulrahman Mohammed Al Ansari
Dubai Islamic Bank
Wonderful experience!
The training on Fraud Risk was very well delivered, especially in relation to understanding fraud management techniques and concepts.
Alya Mubarak Nasser Al Alawi
Bank Muscat
Wonderful experience!
A very informative training on Fraud Risk Management. I enjoyed the style of teaching of the Trainer
Saleh Mohammed Saif Al Hadhrami
Bank Muscat
Wonderful experience!
This was by far the best ever training I have received, The case studies were very interesting and I enjoyed the Fraud risk program a lot!
Naseer Hamood Naseer Al Wadhahi
Bank Muscat
Wonderful experience!
Mr.M Salman Khan's training was excellent. I especially enjoyed the group discussions and the way the various concepts were easily explained.
Naseer Hamood Naseer Al Wadhahi
Bank Muscat
Wonderful experience!
The topic of Conduct Risk was very presented by the Trainer. All staff thoroughly enjoyed the training.
Portia Ho Asia Capital Reinsurance Group
Singapore
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