Conduct and Culture for a 3rd country bank subsidiary

NJ Risk and Regulatory Consulting supported Chapelle Consulting to deliver a conduct and culture project to a 3rd country bank in London. After scoping the problem, we ran culture workshops including bow-tie analysis of recent incidents and designed a staff questionnaire to better understand the current state. We then worked with the client to define a target culture and defined some core values. We then articulated key behaviours to help reinforce the desired behaviours, utilising key ‘influencers’ in the organisation, and designed mechanisms to monitor progress.

We also helped the client develop a conduct dashboard, utilising indicators already collected and mapping into the FCA’s priorities and conduct questions. Finally, we drafted a new Enterprise Risk Policy for the client, which provided an overarching risk policy over the existing risk silos.

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