INDUSTRY – FINANCIAL SERVICES SOLUTIONS
Promote a Civil and Respectful Financial Services Workplace
For over 20 years, Syntrio has been an industry innovator with a focus on addressing culture and compliance needs across the financial service industry, including banking, brokerage and insurance.
Progressing Your Financial Service Organization is a Continuous Effort That Requires Purpose-built Solutions
Reimagine how you can create a civil and respectful
environment and develop the next generation of leaders.
Developing and Maintaining an Effective Code of Conduct
Financial service organizations strive to operate ethically and espouse a commitment to honesty, integrity, and trust. A code of conduct, also called a code of ethics, is a written set of principles that typically works in conjunction with an organization’s mission statement to identify expectations regarding appropriate behavior. In effect, the code serves as an ethical roadmap for employees, management, vendors, and stakeholders to follow. Why You Should Get to Know Your Organization’s Code of Conduct?
Experience Fresh New Code of Conduct Training Each Year
Syntrio FlexCode is highly configurable and allows for a tailored experience without the hassle of building a custom course, enabling you to engage employees and encourage continuous growth and feedback while eliminating the need for a time-consuming annual project.
Every financial service organization needs to promote clear policies, modern tools, and training to help you meet complex challenges and convey a firm commitment to operational excellence, civility, and respect. Syntrio FlexCode raises the bar on code of conduct education because its structure, content, and instructional and visual design work together to:
- Promote an understanding of and commitment to your organization’s core tenets while embracing your unique culture.
- Train employees on multiple risk areas and refresh these topics and content annually.
- Empower employees with the ability to recognize, evaluate and resolve ethical issues.
- Breathe new life into policies and make them more meaningful with awareness and training that support your culture and regulations.
Create Your Financial
Service eLearning Curriculum
Financial service organizations face a unique set of needs. We combine our 20+ years of experience with over 6,000 customers to meet you where you are to drive the program and cultural behaviors you desire.
We understand aligning organizational efforts to improve culture, mitigate risk and meet regulatory standards to drive performance and success is challenging.
Working closely with our customers, we offer a healthy selection of eLearning options to address financial service-related issues and broader topics common to virtually all industries.
Read the Honoris United Universities Success Story
“We went through a rigorous assessment of companies that could provide eLearning and hotline services we required, but most were either regional players, didn’t provide multi-language support, or were simply cost-prohibitive,” says Luis. “However, when we looked at Syntrio, we were Impresses.”
– Luis Ramirez-Alonso
Chief HR Officer,
Honoris United Universities
Engage Your Workforce and Foster a Positive Speak Up Culture
Syntrio’s six eLearning libraries strengthen cultures and protect financial service organizations and employees. Our curriculum addresses your culture and compliance needs, including popular topics such as workplace harassment and discrimination prevention and diversity, equity, and inclusion. Here are a few suggestions to get started:
Workplace Harassment and Discrimination
Syntrio’s harassment training provides a positive approach to workplace harassment issues, reinforces an affirmative workplace culture around respectful conduct, and addresses changing laws and regulations, including state training requirements and case law. Available for language, state, and manager/non-manager requirements.
Every organization must be committed to preventing employment discrimination. To achieve this, all managers and non-managers should be educated about anti-discrimination policies and regulations.
Request our Workplace Harassment Training Brochure for Financial Companies
Diversity, Equity, and Inclusion (DE&I)
Syntrio’s Diversity, Equity, and Inclusion programs communicate organizational values and foster commitment to inclusive, ethical, and legal business practices. DE&I represents a tremendous source of strength if we learn to use our differences to our advantage. We inevitably increase performance, innovation, and patient satisfaction by tying diversity to business strategy.
Request our Essential Guide to DE&I
Creating a Civil and Respectful Workplace
A civil and respectful workplace involves a work environment where employees get along and act appropriately toward coworkers, vendors, business partners, and customers according to codes of conduct and positive behavioral norms. Workplace civility goes beyond a positive attitude. It involves affirmative acts and gestures of respect, dignity, courtesy, and kindness, which lead to better engagement and higher performance.
Request our Essential Guide to Creating a Civil and Respectful Workplace
Business and Leadership Training
Syntrios’ vast collection of business skills courses focus on core competencies that drive professional excellence, organizational performance, and business results. You’ll find a complete collection of leadership and management training that helps develop interpersonal relationships and communication skills that help maximize retention and soft skills – everything from interpersonal skills to team building and change management.
This course discusses what money laundering is, how it works, key responsibilities under anti-money laundering laws, penalties for compliance failures, and “red flags” to help detect money laundering if it occurs.
Avoiding and Managing Conflicts of Interest
Conflicts of interest arising in the workplace can undermine the reputation and integrity of the individual(s) and the organization. These courses teach employees to recognize potential conflicts of interest or situations perceived as conflicts of interest and respond appropriately by avoiding such problems or disclosing them through appropriate channels.
Bribery and Corruption
Bribery in the business sector remains a widespread and costly problem. Society pays a heavy price for the misdeeds of businesses and government officials that engage in this problem behavior. These courses address commercial bribery, bribery involving government officials, the use of intermediaries in business transactions, the role of records and internal controls in aiding or stopping bribery, and how to recognize and avoid improper business incentives.
Gifts, Hospitality, and Entertainment
In financial services, gifts and entertainment are often offered to show appreciation to partners or customers. However, doing so without careful consideration can raise ethical questions and leave those involved vulnerable to unethical or unlawful conduct. These courses help identify ethical issues associated with offering gifts or entertainment. They use a guided process to decide whether it is appropriate, distinguish between a gift and a bribe, and how best to respond to unethical gifts or entertainment professionally.
Business Fraud: Avoiding Deceptive Business Practices
Fraud is a widespread yet often misunderstood topic that ensnares many businesses, partly due to ignorance. Fraud involves intentional deception to deprive others of something of value to enrich another person or organization. Employees must understand how to recognize and prevent fraud, whether within or by their organization or against it. This course covers two types of business fraud: a) occupational fraud, or fraud against one’s employer, and b) general business fraud, or fraud conducted by or against a business, its customers, suppliers, or another outside party.
Avoiding Antitrust Violations
Antitrust laws ensure that consumers can enjoy the benefits of choices offered by providers in a competitive marketplace. This course provides an overview of antitrust laws, anti-competitive agreements, and behaviors with customers and competitors that can lead to violations.
Inside Information and Insider Trading
The careful handling of confidential, nonpublic information is essential for every organization. Insider trading is a term that’s often misunderstood. Many employees may not understand what data is “inside information” and the proper ways to work with and safeguard it. Also, employees need to know how inside information may be communicated for securities trading. These courses address these challenging issues.
Cybersecurity and Data Protection
Syntrio’s cybersecurity library includes courses that provide interactive and engaging awareness to help you pass your audit and prevent breaches, giving your employees a security-minded culture throughout the year.
Employee and Data Privacy
Personal information can be used to identify a specific individual. It can belong to ourselves, customers, consumers, people using the Internet, employees, suppliers, business partners, and other third parties. Certain personal information is often considered private under the law. Therefore, organizations and their employees must safeguard personal information in their care. Here, learners explore the many considerations regarding handling personal data and the practical steps to protect it from theft and misuse.
Financial Integrity and Anti-Money Laundering
These courses address essential topics such as anti-money laundering and properly handling financial and related records. Helping employees be more aware of the risks enables them to be successfully resolved.
Social Media at Work
The rise of social media has impacted society and culture, including the workplace, in profound ways. Social media offers many opportunities and benefits to individuals and organizations by revolutionizing how people communicate and socialize. It also raises many challenging ethical and legal issues, including using business resources and conflicts among personal, professional, and business interests. Practical guidance can help individuals to manage these risks.
Promote a Speak Up! Culture
An anonymous employee hotline, web reporting, and case management system often separates leading financial service institutions, which is an ideal way for leaders to tap into the vast capabilities of an engaged workforce. What makes employee hotline and digital suggestion box services so appealing are their capabilities to engage constituents uniformly wherever they are located.
One of the many benefits of Syntrio’s service is it’s universally accessible to all employees, wherever they work and reside, from central and satellite campus locations to remote learning. And Syntrio’s case management system enables leadership teams to be proactive by accessing real-time information about the pulse of their workforce and student body rather than simply reacting to hidden or underlying risks.
Hotline Learning for Investigations
These courses emphasize the importance of good investigative processes following a reported concern. This ensures we treat all parties with respect and fairness while protecting the organization, its people, and its assets. Investigations provide feedback about how an organization can remain compliant with the law and policies and improve operations and performance. Responding quickly and responsibly to reported issues aids in identifying and addressing problems to maintain a healthy workplace culture.
Complete Visibility and Awareness for the Modern Financial Service Environment
Syntrio continues to reimagine the future of financial service cultures, and it’s clear we are living through a time of real structural change as the speed of business and competition accelerate. Continuous success requires us to quickly gain employee feedback and leverage our unique cultures to drive consistent outcomes and performance.
Syntrio Engage is an Employee Experience Platform (EX Platform) with a modern suite of communications resources that encourages all employees to Speak Up and managers to Listen Up. Engage also integrates your hotline and eLearning services and enables you to harness the power of an engaged workforce, which is essential to delighting students and improving performance.