Following the great success of our webinar on how to build a career in compliance, we’ve once again partnered up with the Association of Professional Compliance Consultants (APCC) to share more thoughts with you on the wonderful world of compliance.
This time around, our esteemed roster of panellists will discuss the steps you need to take to build a sustainable and effective culture of compliance within your organisation.
The event will take place online on Wednesday, July 20 at 15:00 BST.
Some of the questions to be tackled by our experts include:
- How would you define the ideal culture of compliance within an organisation?
- How important is the role of senior management and the board of directors when it comes to building a strong culture of compliance for an organisation?
- What about the role of technology?
- What are your thoughts on the need for in-house training and educational programmes in terms of boosting and improving said culture?
- Both incentives and penalties play a crucial role in our topic du jour. Care to elaborate a bit more on this?
- What are some other exercises compliance officers can carry out to help develop a better culture of compliance within their firm?
- And plenty more.
Hope to have you with us in July!
Our Compliance Experts
Dr. Roger Miles, Co-Founder and Head of Faculty, UK Finance’s Conduct and Culture Academy, UK
Dr. Miles researches behavioural risk in organisations and advises on improving the control, measurement and reporting of conduct, culture, and reputation. He counsels senior leaders on the best ways to communicate about risk, uncertainty and culture using new reporting formats and tools to overcome the blind spots inherent in past approaches to risk management. He is Co-Founder and Head of Faculty for UK Finance’s professional Academy programmes addressing conduct, culture, ethical governance, and reputation risk. He designs and delivers consistently 5*-rated workshops on Conduct and related human-risk topics for corporates, industry bodies and business schools worldwide.
After audit training with PwC, he led stakeholder and risk communication programmes for organisations including Barclays, Vodafone, two ministerial offices of HM Government, and industry advocacy groups in London and Brussels. Pursuing a personal interest in how risk perception shapes the design of regulations, in the early 2000s he requalified in Risk Psychology, producing original research that correctly predicted the (2013) change of financial regulatory regime to ‘behavioural risk’ reporting. Since the launch of the UK’s financial conduct regulator (FCA) his industrywide research, forums, and in-house workshops on the new approach to risk-aware working have engaged him personally with Boards and senior Conduct leaders in more than 400 regulated firms, in more than 20 countries.
His recent work with regulators can be seen in the audit profession’s (FRC) review, Audit Firm Culture: Challenge. Trust. Transformation and in the wholesale markets’ (FMSB) Behaviour-pattern Conduct Analysis: Market Misconduct Through the Ages. He is a contributing editor at Thomson Reuters Regulatory Intelligence, at the London School of Economics Behavioural Economics Guides (behavioraleconomics.com) and for the journal of Plural Economics (themintmagazine.com). He lectures on risk perception, organisational culture and (mis)conduct at the University of London and UK Defence Academy and is on the Board of the Conduct Risk: Grey Areas research initiative (Cambridge Judge Business School and City University, London). His published work includes Culture Audit in Financial Services (2021), Operational Risk: New frontiers (2012)(with Ellen Davis); and Conduct Risk Management: a behavioural approach (2017)
Julie Ampadu, Director, Association of Professional Compliance Consultants (APCC), UK
Julie Ampadu is an experienced compliance practitioner and leads the Education Working Group within the Association of Professional Compliance Consultants (APCC).
Julie’s focus is to encourage authorised firms to look forward to what the future of financial services will look like, based on the new generation of young blood entering the industry, helping firms to encourage the right people to become part of their organisations and to open the opportunity of compliance as a formal career path for those embarking on their career.
The Education Working Group is currently working on a range of initiatives to enliven and formalise the career of ‘Compliance’ within the Financial Services sector.