Certificate in Conduct Risk

LEORON Professional Development Institute
Training overview
Professional Course
Virtual Classroom
5 days

Start dates
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Course description

Certificate in Conduct Risk

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 staffs conduct themselves including how customers are treated, how staff are remunerated and how conflicts of interest are addressed. Losses associated with or attributed 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.

You will look at the key terminology and develop skills that will help you recognize 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.

Who should attend?

This course will be suitable for personnel in the financial markets with a basic understanding of Risk Management. It is particularly designed for:

  • Risk, Audit & Compliance Professional
  • Head of Operational Risk
  • Managers of Enterprise Risk Management
  • Senior Risk Managers
  • Quality Assurance Executives
  • Directors
  • Executives
  • Financial Controllers
  • Procurement & Sourcing Managers
  • Finance Personnel
  • Internal Auditors & Accountant
  • Strategic Planners
  • Operations & Logistic Executives



Training content

  • Day 1: Introduction to Conduct Risk, Its Components, Drivers, Implementation Steps & Associated Challenges

  • Day 2: Conduct Risk Framework & Policy, Its Components, Conduct Risk Appetite, Role Of Technology & Operational Risk

  • Day 3: Regulatory Landscape Around Conduct Risk - Trends And Key Developments – Role Of Human Resources In Managing Conduct Risk

  • Day 4:

    • Case Studies On Conduct Risk: Key Misconduct Events And Its Relationship To Conduct Risk.

    • Role Of Key Risk Management Reporting For Management Of Conduct Risk Including A Look At Artificial Intelligence In Management Of Conduct Risk

  • Day 5: Management of Conduct Risk

Certification / Credits

Learning outcomes

  • Gain a practical understanding of the concept of Conduct Risk from the perspective of the institution and the customer
  • Insight into what constitutes a good risk culture and the role of good conduct in organizations
  • Understand the underlying forces that drive conduct risk for institutions
  • Insight into the Scope of an Enterprise Conduct Risk Framework
  • Gain a clear understanding of Conduct Risk Framework Components & Implementation
  • Understand the role of Operational Risk and Internal Audit as key stakeholders in the Management of Conduct Risk
  • Insights into Conduct Risk Failures and consequences based on international experience
  • Role of Human Resources as a vital asset in the management of conduct risk
  • Gain a thorough understanding in the importance of conduct risk reporting
  • Understanding approaches and techniques in the management of conduct risk

Benefits of attending

  • Gain an understanding of the Concept of Conduct Risk, its Drivers and its relationship to protecting organizations.
  • Understanding the Conduct Risk Framework and how it is applied in the context of Risk Management.
  • Gain a practical understanding of examples of Conduct Risk failures through case studies including the role of regulation in Conduct Risk.
  • Understand the relationship between Conduct Risk and Risk Culture and the role of Risk Culture in Conduct Risk.
  • Understand the strategies for implementation of an Effective Conduct Risk Framework and Process.

Why choose Leoron?

LEORON has worked with some of the largest companies in the World - but importantly we care about the individual. Through our Customer Happiness Team we ensure that everyone who attends a LEORON course has the support before, during and after to ensure their training needs are met.

We offer the highest level of training delivery, whether that be in our live-virtual training or in-classroom sessions, with our expert instructors guiding you through everything so that you’re left feeling assured and confident to utilize your new knowledge going forward.

About Leoron

LEORON Professional Development Institute

LEORON is the fastest growing global training institute in the World, having evolved over the past 11 years into a dominant training institute that offers a comprehensive set of training and development solutions to both individuals and businesses. Our locations...

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