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Mastering Operational Risk Within Financial Services

Operational risk, fraud, non compliance, can bring down financial institutions more surely than market or credit risk. Still, the assessment and management of operational remain unsatisfactory in many organisations. By hearing about the latest development in ORM and sharing practices with peers, this seminar will bring wealth of risk management improvements.

Turning 'Theory' into 'Practice'?

This comprehensive Operational Risk course is tailored to equip you with the knowledge and understanding to effectively rise above the operational risk challenges today and tomorrow.

Who should attend?

CFOs, CRO, risk officers, VPs, MDs, heads of departments, operational and risk management staff from financial services industry – banks, insurance companies, pension funds, consultancies and software vendors operating in this business, Internal Auditors, Regulators

Key areas to be covered in the programme and documentation


Factors Influencing the Importance of Operational Risk

• Financial sector battered

• Media pressure

• The complexity of IT systems

• Regulatory and risk capital allocation pressures

• Business complexity

Identifying and Classifying Operational Risk Categories

Operational Risk components explained

• Corporate Loss Database

• Risk Self Assessments

• Key Risk indicators

• Economic Capital


• Technology

• People

• Process

Workshop: Developing operational risk management framework

• Objectives of operational risk management

• Responsibilities

• Developing a risk awareness culture

• Developing operational risk management procedures

• Operational risk management techniques

• Self assessment

• Benchmarking

• Allocating operational risk costs


Understanding the Risk Impact

• What is measured and how

• Direct, indirect impacts

• Financial and non financial impacts

• The interpretation of information

• Capital allocation assumptions

• Capital adjustment policies

Workshop: Utilising risk measurement techniques

Case Studies: Rogue trading and fraud

• Rogue trading drivers

• Rogue trading signs

• KRIs for rogue trading

• Preventing rogue trading

Illustrations: SocGen, UBS, Allied Irish Bank


Risk Response and Control Design

• The Risk Responses

• Risk Tolerance

• Risk Transfer

• Risk Avoidance

• Risk Mitigation

• Control types

• Prevention, Detection, Correction

• Prevention by Design

Soft Issues

• What is Corporate Culture? Definition

• Measuring risk culture

• Define what you want: Identify vital behaviours

• Build on opinion leaders

• Implementing Risk Culture the MESAR model©

• Performance Measurement as a risk management tool

Practical Workshop: aligning corporate governance and operational risk management

• Overcoming resistance and introducing training strategies

• Project planning, budgeting and communications

• Gain support for operational risk management actions

Operational Risk Master Class:   Advanced Operational Risk

The day is designed for risk managers and operations officers wising to advance their knowledge and techniques with the latest developments in operational risk management for the financial sector. Practical workshop with guided exercise will allow them to test their new skills on the day.

Duration of Course: 1 day

Session 1: Event Analysis and Control Design Workshop

• Event Analysis: Bow Tie

• Indirect causes

• Indirect consequences

• Root causes

• Scope for control

• Control Design

• Impact analysis

• Mitigation techniques for physical impact, financial impact, reputational impact

Workshops: Bow tie event analysis: each delegate analyse all causes and consequences of a operational risk incident, designing better preventive controls and action plans.

Session 2: Preventive KRIs

• Risk drivers and KRIs

• Candidates for preventives KRIs

• Failed indicators as risk factors

• Cause of the cause

• Environmental indicators

Workshop: Design Preventive KRIs step by step (ten steps)

Session 3: Scenario Analysis

• Risk Assessment: P x I?

• The future of probability impact matrix

• Dealing with non linearity

• The cliff effect of risk

• Ten traps to avoid when running scenario analysis

• Industry views

• Sharing knowledge

• Scenario Analysis and Risk Management

Workshop: develop a mitigation plan for a given scenario (distributed in class)

Benefits to you

• Gain critical insights into operational risk and how it can be successfully managed and controlled • Understand and utilise current best practices • Examine deep into Basel II for operational risk and expectations from Basel III • Explore how to create a best ORM framework that suits your organization • Evaluate different risk measurements techniques • Interpret the regulatory impact and requirements for risk management and capital • Utilise and Incorporate new technology, soft issues • Discuss and analyse various case studies including rogue trading and fraud, personnel issues.

Companies already benefiting include:

Duration of Course

3 Day Course

Course details

17th – 18th March 2014 + Masterclass: 19th March 2014, London, PT2707

Looking to train larger teams in this subject?

dzingim@marcusevansuk.comTailored in-house/in-company training courses and bespoke strategy workshops designed and delivered on-site throughout Europe according to your specific requirements.

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Further information

UK Enquiries: +44 (0) 203 002 3057

Non-UK Enquiries: +420 (0)2 5570 7246

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"This course will allow my company to develop its existing strategies to a much greater and hopefully profitable level."

Managing Director, Tarmac