Keeping it simple
Our offering represents our vision to keep things concise, easy to understand and to give you the choice. We list some of the key course considerations within each of our categories, without overwhelming with you all the possible topics. Each of our courses is simply a starting point, consider it a baseline for us to work with you to develop the content and style that best suits you.
CISI UK Regulations
A dynamic approach to understanding the regulations, legislation and conduct that underpin financial markets in the UK. Our course is designed to help you ‘learn to understand' rather than to simply ‘pass’.
Unprecedented fines have and continue to be imposed across financial services and now it's starting to get personal. What does Conduct mean to you and your firm? In this workshop via the use of in-house case studies we focus on what good conduct means within your firm, the practical steps that should be taken to best serve your clients and protect your firm and the individual implications for your employees.
Compliance Induction Enhanced
Building upon the Induction Essentials this version is designed for those working more directly either in or with the front office. The course goes into greater depth on market regulations and includes topical examples that highlight the importance of employees recognising and responding appropriately to compliance issues in their roles.
Compliance Induction Essentials
Do you have a robust consistent benchmarked Induction process that introduces, explains and refreshes your employees on their key regulatory obligations and ensures they understand the culture of your firm from Day 1? If not then perhaps you should check out our Induction module - a comprehensive yet concise overview of the key market regulations and obligations.
No more death by PowerPoint! A clear repeatable format that encompasses three elements; key regulatory updates, case studies and standing reminders. The differentiating factor here is the ability for us to work with you to draw on firm specific events that will engage and resonate with your employees
Fundamentals of Financial Markets
Strap in for this one day intensive class that provides an intuitive look at the participants in the financial markets, their activities and value propositions, the products and how they are traded in the equity, fixed income, FX and derivative markets.
General Data Protection Regulation (GDPR)
Coming into effect on May 25 2018 the EU GDPR brings data protection legislation in line with technological advances and the current use of data.
Any firm which deals with customer data in the EU or EEA will need to comply. The impacts are broad and go far beyond current data protection laws with significant penalties.
In this workshop we will look at and focus on the practical implications of GDPR to your firm by breaking down this complicated piece of regulation into a number of digestible core components.
We will equip you with detailed understanding as to what changes GDPR will bring, examples of how you will need to update policies, procedures and processes and a checklist of actions to take back to your firm to ensure your readiness.
Market Abuse Workshop for Funds
The Market Abuse Regulation (MAR) was introduced in July 2016 and the FCA has recently imposed some big fines on high-profile names in the fund industry. This coupled with its report into the Asset Management Industry means that those working in the fund industry need to be ever more vigilant on market abuse, what it means and what obligations they have on them to demonstrate awareness and adherence.
This workshop will split across two sections:
- A focus on MAR and what we now know two years on; what it is, what it means and why it matters.
- Case study analysis – what can we learn from cases that have directly impacted the fund industry.
MiFID II - Knowledge & Competence
Much has been done to prepare for MiFID II but much is still left to do. Firms must continue to refine, systematise and focus on how MiFID II can help you position many of the requirements with your clients.
As part of MiFID II firms with employees that provide advice or information about financial instruments, investment services or ancillary services to clients must demonstrate minimum standards of knowledge and competence to fulfil their obligations. Firms must therefore ensure that such staff have the necessary knowledge and competence to perform their roles. In this short course we map and cover the key ESMA guidelines that you need to be able to demonstarte for both your information givers and providers.
Senior Managers & Certification Regime
The Financial Conduct Authority (FCA) is tightening up its rules, replacing the current Approved Persons Regime with the Senior Managers and Certification Regime (SMCR). The regime has already been operating in the banking sector for some time and will this year extend to all within the financial services sector.
This change will affect all FCA regulated firms including non-UK firms with permission to carry out regulated activities in the UK, and it will focus on three key areas:
- The Senior Managers Regime
- The Certification Regime
- Conduct Rules
The Treasury will set the timetable for the implementation of the new regime and a policy statement is scheduled for Summer 2018.
Develop Yourself: Furthering your career ambitions
You own your career now what do you do with it? Plotting a path for success and taking step towards advancing your career can be daunting. This course helps you to: focus on the small things you can do everyday that make a difference, advocate for yourself when it comes to advancement, reassess and realign your career as the organization changes and set achievable career goals.
Develop Yourself: Communicate to get results
Are your messages coming in loud and clear? How do you know if what you say is having the impact you intended? With less time, more channels for communicating and a complex work environment - it’s never been more important to have clear, focused communication. This course covers the most important aspects of communication including choosing the right communication channel, verbal and non-verbal communication, adjusting the message to the audience and situation and changing communication techniques when things to awry.
Develop Yourself: Communicate with style and substance
Style is all about working with what you have and communication is no different. To be an effective communicator you need to first understand how you communicate most effectively. This course takes a simple, fun approach to understanding how you communicate when you’re at your best and how you’re likely to communicate when you’re under stress. It breaks down the different communication styles and how we use them as well as how to pick up queues from others so you can adapt your communication to the style that suits them.
Develop Yourself: Stories that stick
Communicating gets your message across. Telling stories make your messages memorable. Designing stories that inspire, entertain and inform are an essential tool in your presentations toolkit. Learn how to design a story that captures your audience’s attention and makes them want to hear more. Learn the different types of stories and when/how to use them. Lastly, learn how to tell the story in a way that makes people laugh, cry or simply want to listen to you again.
Develop Your people: Career conversations
Stop having conversations with your people about the next rung on the career ladder and start having conversations about their ambitions! As a manager, you support the career development of your team but if you wait for the one time per year it’s mandatory to have a career conversation - you will never truly build the rapport necessary to support the growth of your people. This course focuses on PRACTICAL career conversations not theoretical and gives managers tips and techniques to learn about what drives your people, how to empower them and support.
Develop Your People: Coaching made simple
Every manager has heard about the role of coaching in unlocking the potential of your team. But how do you coach on top of your day job? This course is a practical look at how to take the core parts of a coaching model and apply them in your day-to-day interactions with your team.
Develop Your People: Creating an infinite feedback loop
Ongoing and in-time feedback is essential not just for the millennial population but for everyone. A recent study showed that over 90% of workers in the US and globally agreed that even negative feedback is valuable in improving performance. All too often we don’t give feedback and when we do it’s vague and ineffectual. Or we avoid giving the tough feedback. This course uses a simple feedback model to ensure giving and receiving feedback is fun and frequent. It also talks about how to practice feedback, creating an environment for feedback within your team and what to do with feedback.
Managing the day-to-day: Engaging with your virtual team
Building rapport with a virtual team is a difficult task for any manager. Cultural differences, unreliable technology, time zones and matrix manager structures are just a few of the hurdles managers face when managing a global, virtual team. This course addresses some of the simple tips and tricks to make a managing a virtual team a bit easier and ideas for building better relationships with the people on your team no matter where they sit.
Managing the day-to-day: Managing generational differences in the workplace
Is it really just about managing millennials? Or is about understanding generational differences in the ever growing, ever changing workplace? We believe it’s the latter. This course addresses the different generations in today’s workforce and what it means to be “multi-generational.” Using simple and fun activities, we look at how to understand the different context of each generation, learn what they value and use different tactics to get the best out of your generational mix.
What is Continuous Improvement?
This module introduces the critical role of Continuous Improvement in enabling firms to survive and thrive in ever more challenging regulatory and competitive environments.
- Learners will explore the key movements which, as a collective, form the basis for the field of Continuous Improvement
- Concepts and approaches such as Lean, Six Sigma and systems thinking are explored and applied to everyday business situations
- The focus firmly at strategic level, the learner is provided with a platform to explore models of application and key CI tools in future modules.
Define - Identifying where to focus improvement
This module is the first of five that introduce learners to the DMAIC approach to process improvement – an essential element of Continuous Improvement.
- Starting with an overview of how process improvement can support and drive strategy deployment, learners will discover, using topical examples, how to identify where improvements might be made and prioritise to ensure maximum leverage on improvement spend
- Attention then turns to the fundamentals of chartering a project and ensuring improvement activity is led by sound evidence
Measure - Clarifying the current state
This module introduces the second stage of DMAIC – measure – focusing on the vital techniques required to clarify the situation and quantify the problem.
- Concentrating heavily on the process of achieving clarity and the key tools to support the process, learners will come away from this module with a methodology that can be applied in any number of situations.
- Covers the different types of process mapping and tools such as Failure Modes and Effect Analysis using examples to illustrate the value of achieving a clear understanding of the ‘as is’ for both process improvement initiatives and more general business application.
- The module finishes by exploring the importance of project selection.
Analyse - Analysing the problem and testing hypotheses
This module takes the learner further into the discipline of using data to enable effective decision-making.
- This course explores some of the tools used to drill down further into identified problems including hypothesis testing and regression analysis
- As the title suggests, learners will encounter some basic and more advanced analytical tools in the module as the process improvement project moves into the critical Analyse phase
- Here, learners will understand how to test assumptions and hypotheses in order to ensure robust data, not human judgement alone, guides decisions on where to focus improvement activity and the impact that can be expected.
Improve - Implementing improvements
In this module, learners will encounter some of the ‘sexier’ tools and approaches available to the process improvement professional.
In the context of real-life examples, learners will understand how and when to deploy standalone improvement tools and activities such as 5S, Kaizen, Poka-Yoke and Heijunka to support the design and implementation of effective counter measures.
Control - Sustaining and ongoing improvement
In the final DMAIC module, the essential elements of counter measure sustainability, process control and continual improvement cycles are covered in depth.
- Learners will be presented with the very real challenge of sustaining improvements once the excitement and motivation of the improvement project fades into business as usual and will discover how to ensure counter measures stick
- Learners will also explore how to build mechanisms into counter measures to enable ongoing and regular continuous improvement cycles in order to future-proof the viability and relevance of counter measures deployed.