How to Develop Effective Key Risk Indicators - NASBA: 1.5 (CPE)

  • Speaker:Mario Mosse
  • Date: 7th December 2017 10:00 AM PST | 01:00 PM EST
  • Duration:90Min
  • Product Code:GRC-90195



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Group Internet Based | 1.5 (1 CPE for 50 minutes) | Management Services (1.5 CPE) | Intermediate Level | Prerequisites - None | No advance preparation


A Key Risk Indicator, also known as KRI, is a metric used in risk management to indicate riskiness of an activity or the effectiveness of its associated controls.  It is different than a Key Performance Indicator (KPI), which is a measure of how well an activity is being performed. KRIs are an important tool within risk management and are used to enhance the monitoring and mitigation of risks and facilitate risk reporting. KRIs are particularly useful in the management of operational risk, which is difficult to quantify. Operational KRIs enable risk managers to identify conditions that may result in losses and act upon them before actual losses are realized; the metrics also act as indicators of changes in the risk profile of a firm.

 Why you should attend:
An effective Operational Risk Management function needs to develop and track metrics and other management information to be able to take timely action when there is indication that risk exposure exceeds the firm’s risk appetite or is trending in that direction.  KRIs can be trended and provide risk exposure information on a quasi-real-time basis, unlike risk and control self-assessments, which are infrequent, qualitative in nature, and only present the status of risk and controls at a point in time.  KRIs also validate and enhance the risk assessment framework by providing objective information that either confirms or reject the subjective assessment reached by the process owners.
  Areas to be covered during this session:
•    Introduction to Key Risk Indicators (KRIs)
•    Importance of KRIs
•    KRI Categories
•    KRI Program Components
•    Identification
•    Selection
•    Setting Risk Appetite Thresholds
•    Tracking and Reporting
•    Action Plans
•    Roles and Responsibilities
•    Major Challenges
•    KRI Refinement
•    Implementation

This webinar will provide valuable assistance to all personnel in:
•    Banks,
•    Asset Managers,
•    Broker/Dealers,
•    Insurance Companies and all other financial institutions
•    Other  large Corporations
•    Risk Software Vendors
•    Audit Firms
•    Risk Management Consulting

Instructor Profile:
Mario Mosse has 40 years of experience in enterprise risk management, internal audit and regulatory compliance at financial services companies. He is the president of MMosse Consulting, LLC, where he provides risk management advice and training to the financial services industry. Previously, he was the head of Operational Risk Management at Prudential Financial, Inc.  Prior to joining Prudential, Mosse was with The Chase Manhattan Bank, where he held several senior positions in Internal Audit and Risk Management.

Disclaimer NASBA

GRCTS is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its web site:

Available Options

Recording: Access it for 6 months from any location


CD: Shipped within 2 working days


5 Member Group: Access the Live Meeting online from any location globally


10 Member group: Access the Live Meeting online from any location globally

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