Assign clear ownership for each element of compliance and integrity culture across the functions involved.
Building a Culture of Compliance and Integrity Across All Organisational Levels
Learn to design, measure and defend your organisation's approach to compliance and integrity culture.
📍 Abu Dhabi🗓️ 5 training days📚 4 modules🎓 Accredited certificate
5intensive training days
4scientific modules
8training sessions
32detailed points
Course Overview
Models supporting compliance and integrity culture fail quietly, and usually at the worst moment. The audit trail behind integrity culture matters as much as the decision itself. It suits anyone whose decisions touch this aspect of financial and banking practice, in large organisations and small ones alike. Benchmarking exercises repeatedly place compliance and integrity culture among the areas with the widest performance spread. The programme is built to be used, and every section of the practice within financial and banking practice it covers ends in something applicable. Improvement in integrity culture stalls when it depends on one capable individual rather than a defined method. Participants gain a realistic view of what compliance and integrity culture costs and what it returns. The method assumes participants will be challenged on their handling of integrity culture and prepares them for it. It closes by agreeing the smallest change to the financial and banking practice discipline that would make a visible difference.
Expected Learning Outcomes
Apply the relevant accounting and disclosure treatment to integrity culture.
Establish the segregation of duties required around compliance and integrity culture.
Document the approval chain for exceptions to policy on integrity culture.
Set acceptance criteria for compliance and integrity culture before work begins rather than after.
Anticipate the objections that integrity culture will attract internally and answer them in advance.
Design the reporting on compliance and integrity culture that reaches decision makers in time to act.
Who Should Attend
Compliance and governance staff whose remit includes compliance and integrity culture.
Analysts producing the data on which decisions about integrity culture rest.
Treasury and asset-liability staff managing compliance and integrity culture.
Financial technology and change staff modernising integrity culture.
Operations staff executing and settling compliance and integrity culture.
Compliance officers overseeing integrity culture.
Course Modules
Compliance and integrity culture: regulatory obligation and supervisory expectation
2 sessions · 8 pointsSession 1The cost of compliance and integrity culture and how to present it
- Confirm reporting on compliance and integrity culture reaches the committee that can act on it.
- Check the accounting treatment applied to integrity culture against current standards.
- Assess the capital consumed by compliance and integrity culture under current and stressed conditions.
- Assign responsibility for keeping documentation of integrity culture current.
Session 2The control on integrity culture that looks strong and is not
- Benchmark the organisation's compliance and integrity culture against comparable operations.
- Confirm that contractual obligations around integrity culture are understood.
- Establish what evidence demonstrates compliance and integrity culture is under control.
- Document the remediation plan for each known weakness in integrity culture.
Integrity culture: the control framework and segregation of duties
2 sessions · 8 pointsSession 1What a supervisor will ask about integrity culture, and in what order
- Write down the assumptions underpinning the approach to compliance and integrity culture.
- Agree who signs off integrity culture and record that they did.
- State the risk appetite for compliance and integrity culture as a number, not an adjective.
- Arrange the handover of integrity culture so capability survives staff changes.
Session 2What to measure in integrity culture and what to ignore
- Confirm segregation of duties across initiation, approval and settlement of compliance and integrity culture.
- Review the pricing of integrity culture against the risk being assumed.
- Confirm that reporting on compliance and integrity culture reaches the people who can act.
- Set escalation thresholds for integrity culture that work out of hours.
Integrity culture: stress testing and scenario analysis
2 sessions · 8 pointsSession 1What integrity culture does to capital and liquidity under stress
- Define the trigger that would require compliance and integrity culture to be redesigned.
- Map the handovers in integrity culture between functions and secure them.
- Agree the indicators that will show whether compliance and integrity culture is improving.
- Record what was learned when integrity culture did not go as planned.
Session 2Comparing compliance and integrity culture with recognised practice
- Estimate the resource compliance and integrity culture requires to run as designed.
- Test the procedure for integrity culture against a realistic scenario.
- Design the exception process for compliance and integrity culture and require a documented rationale.
- Remove steps in integrity culture that add effort without adding assurance.
Integrity culture: exceptions, breaches and remediation
2 sessions · 8 pointsSession 1Concentration building quietly inside integrity culture
- Compare the cost of compliance and integrity culture with the cost of its absence.
- Confirm regulatory reporting on integrity culture is complete, timely and reconciled.
- Set early warning indicators for compliance and integrity culture with defined action thresholds.
- Identify the key controls over integrity culture and who tests them.
Session 2Pricing integrity culture for the risk actually taken
- Review concentration by counterparty, sector and geography inside compliance and integrity culture.
- List the assumptions in any model supporting integrity culture and when each was last challenged.
- Translate the appetite for compliance and integrity culture into limits someone monitors daily.
- Confirm client due diligence standards applied to integrity culture are current.
Choose the package that suits you
Silver Package
At least 3 people
USD1,250
- Workshop or Program Participation
- Airport Transfers
- Customized Badge
- Expert Mentorship (Private Sessions)
- Supervision & Secretarial Services
- Accredited Certificate of Participation
- Complete Training Kit
- Coffee Break
- Closing Ceremony
Gold Package
At least 3 people
USD1,850
- 5-night stay in a 5-star hotel
- Workshop or Program Participation
- Airport Transfers
- Customized Badge
- Expert Mentorship (Private Sessions)
- Supervision & Secretarial Services
- Accredited Certificate of Participation
- Complete Training Kit
- Coffee Break
- Closing Ceremony
Complete your registration
We will contact you within one business day to confirm.