Ethical lapses rarely begin with deliberate misconduct. More often, they emerge gradually from unchecked assumptions, unexamined bias, commercial pressure, or rationalisations that seem reasonable in the moment.
Managing ethical risk therefore requires more than technical knowledge. It requires self-awareness, professional courage, and a clear understanding of how ethics, compliance, and behavioural risk interact.
In this 1.5-hour facilitated online workshop, you will explore how professional and ethical risks arise in financial advice and how to identify and mitigate them before they escalate. Through practical discussion, scenario testing, and structured tools, you will strengthen your ability to respond proactively rather than reactively. You will be more skilled at anticipating risk and challenging assumptions to support better client outcomes.
Learning outcomes
- Be able to recognise the different types of ethical risks that arise in financial services
- Identify behavioural risks that can distort professional judgment
- Understand how ethical lapses occur and how to interrupt them early
- See how ethics intersects with compliance obligations and risk frameworks
- Distinguish between compliance-based and values-based approaches to risk management
Speaker Bio
Jane Arnott MNMZ, Director at The Ethics Conversation
Jane is the director of the Ethics Conversation. She delivers practical sector specific business and professional ethics workshops and presentations for professional bodies, public and private sector entities. Jane has facilitated Ethics workshops for Financial Advice NZ for 5 years now and continually evolves these to address changes in business practices. Jane became a recipient of a Queens Birthday Honour in June 2021 reflecting her work as an advocate for Pasifika communities and as executive director of a nationwide conservation not-for-profit. She was appointed an adjunct research fellow, Brian Picot Chair in Ethical Leadership, School of Management, Victoria University of Wellington effective December 2021. Her ethics workshops support speak up processes, effective Codes and the embedding of an ethical culture along with ethical leadership. Prior to the Ethics Conversation she was the first offshore Associate and Country Representative for the UK based Institute of Business Ethics (IBE), a position she held for over ten years.
CPD: 1.5 Hours
Member: $115 (incl. GST) | Non-member: $147 (incl. GST)
Zoom Webinar Link / ID will be emailed to registrants