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    Minimising Conduct Risk

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    Moody’s Analytics’ Minimising Conduct Risk (MCR) is an essential e-learning course that addresses the root causes of employee misconduct. The course makes employees aware of common, pervasive influences, pressures, and biases that can lead to unethical behaviour, and provides guidance on how to overcome them. MCR begins by defining conduct risk and establishing a foundation for understanding its consequences for clients, the institution, and the employee. It then provides deep awareness – accompanied by many examples from different areas of the institution – of critical factors that contribute to suboptimal employee behaviour. These factors include (i) job-related and outside influences, (ii) job requirements and team pressures, and (iii) heuristics and biases. Finally, the course provides actionable tips and techniques for mitigating, overcoming, or altogether avoiding these influences to minimise conduct risk and its negative impact.

    Upon completion, employees will:

    • Know how to treat internal and external customers fairly, along with the implications of not doing so;
    • Appreciate the nature of working in a financial institution and the stresses it creates;
    • Understand fiduciary responsibility and what it means to properly care for customer resources;
    • Be aware of influences, pressures, and biases to which you’re frequently subjected, and how they can make it difficult to behave ethically, even when you’re trying to do the right thing;
    • Have tools and techniques at your disposal that give you greater control over your actions and decrease the likelihood of personal misconduct.

    Course Outline:

      Module 1:
      Risk and Conduct:
      Setting the Stage

      1. Treating Customers Fairly (TCF) Framework
      2. Risk and Behaviour in Financial Institutions
      3. Risk Culture
      4. Fiduciary Responsibility

      Module 2:
      Influences on Behaviour:
      Raising Awareness

      1. Job Requirements
      2. Influences and Team Pressures
      3. Heuristics and Biases

      Module 3:
      Influences on Behaviour:
      Minimising Their Impact

      1. Overcoming Influences and Team Pressures
      2. Overcoming Heuristics and Biases

    Who Should Enrol?

      ​All financial institution employees. There is no prerequisite course work or experience.

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