The Compliance Risk Specialist

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Conduct Risk Framework Design

Working with you to design and document your Conduct Risk Framework from assessing your Conduct Risk appetite and Conduct Risk Drivers to developing Conduct Risk Management Information and governance arrangements

Conduct Risk Framework Reviews

Undertaking bespoke reviews of some or all of your Conduct Risk Framework (including governance arrangements) to identify opportunities for improvements to processes and procedures that would reduce the risk of Conduct Risks materializing

Conduct Risk Strategy

Enhancing your Conduct Risk strategy and arrangements to reflect the evolving Conduct Risk landscape, taking into account the FCA’s key drivers of Conduct Risk

Conduct Risk Assessment

Determining the potential Conduct Risks inherent to the scale, scope and complexity of your firm’s activities

Conduct Risk Policies

Creating Conduct Risk policies and procedures

Conduct Risk Training

Providing customised training to all staff on the firm’s Conduct Risk Framework and outlining the roles and responsibilities for all staff with respect to Conduct Risk

Conduct Risk Management Information

Reviewing and assessing your firm’s Conduct Risk Management Information Dashboard, Conduct Risk Key Risk Indicators and Key Performance Indicators relative to the identified Conduct Risk Drivers and wider Conduct Risk Framework already developed

Product Governance Reviews

Review the product governance control framework to ensure that there are establish procedures to assess the target market and risks for new products (or product re issues) that the firm manufactures or distributes

Conduct Risk Governance

Assessing, reviewing and/or drafting Conduct Risk governance frameworks including committee terms of reference, management information templates and senior management oversight arrangements

Has your Firm embedded your Conduct Risk Framework?

Putting the interests of your customers first is integral to both meet FCA expectations and retain customer loyalty. In order to effectively manage the conduct risks that can lead to poor outcomes and customer detriment you need a consistent and robust framework.

Conduct Risk focuses on the essence of a firm from product design to handling customer complaints. It drives to the heart of the behaviours, culture, morals and ethics of people at all levels of the organisation.

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Would you like to start a project with us?

We are able to adapt our approach to meet your requirements, offering timely and cost effective solutions in line with regulatory requirements and best industry practice. We can help senior management to fulfil their responsibilities by establishing the right framework and putting in place the policies and procedures required to instil and enforce the right culture and governance arrangements.

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