We deliver a bespoke service that is strategy and goal aligned. We ensure your team is moving in line with the vision, values & and objectives of the business.
We want to work with you on any project that at source requires a behaviour shift, for example this could be on a technical project which requires a subject matter expert or regulation driven conduct risk management.
Our experience is entirely from within Treasury & Capital Markets of a Bank, so have a commercial focus which is very helpful for our clients as we understand the internal and external challenges faced by individuals within an organisation.
We help business’ to create bespoke solutions in the following areas:
Objective Audit Service
We will sit above your first, second and third line of defence to provide an external view on the process and procedures in place.
Review Front Office Sales Process against the regulatory requirements particularly when the end client is a Small Or Medium Sized Enterprise.
- Is end to end sales process fair clear and not misleading to the client
- Is the sale conducted on an on advised or non advised basis
- is the referral to Treasury by the Corporate Relationship Manager appropriate
Culture & Values
We will work with leaders and their teams to understand core values and behaviours expected of them and ways in which they can align to these in practice.
The FCA is making senior management responsible for culture change through The Senior Manager Regime and Market Abuse Regulations. It is extremely important that all leaders are aware of what this means in practice as they are now accountable and will suffer the consequences of any breach.
We offer leaders support, mentoring and coaching on the complexity of navigating these challenging times in the Front Office and dealing with ambiguity that comes with the implementation of these regulations in practice.
We have senior leaders with experience from a trading floor that can support you to deliver on strategic or tactical solutions in relation to Conduct, Culture and Business. We also assist with managing the challenges that come with these.
We have hands on experience of the end to end process of an S166 review and plenty of learning points.