Workplace Conduct Training and Policies for Financial Services Firms
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Founder Message
After spending over a decade managing financial services conduct issues in roles across HR, Legal & Compliance, I founded Conduct Counsel to ensure that firms were receiving training and risk frameworks designed for their unique needs.
Given the heightened regulatory environment in which financial services firms operate, it is not sufficient for firms to rely on tick-box or non-industry-specific training and risk frameworks to manage conduct.
I’ve drawn on my experiences as an employment lawyer, whistleblowing committee member and HR investigator responsible for handling some of the most sensitive workplace conduct issues including sexual harassment.
Conduct Counsel training solutions and risk frameworks have been designed with a genuine understanding of both the financial services industry and the regulatory and employment context that shapes conduct expectations in this market.
Alison Sneddon, Founder & Lead Trainer
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Conduct Counsel is founded by Alison Sneddon, a solicitor who is regulated by the Solicitors Regulation Authority (SRA). The services provided by Conduct Counsel are consultancy services and products on workplace culture, offering tools for firms to implement conduct and cultural standards throughout their teams. These services are not provided in the capacity of a solicitor or law firm and do not constitute regulated legal work. As such, the SRA minimum-terms for professional indemnity insurance, access to the SRA Compensation Fund and Legal Ombudsman complaint routes are not applicable. Instead, our services are backed by commercial liability insurance (details available on request), and if anything ever falls short of your expectations, we’d ask you to raise it with us directly through your dedicated client services contact so we can put it right.