How to Conduct High Quality Risk Assessments - NASBA CPE - 1.5

  • Speaker:Mario Mosse
  • Duration:90Min
  • Product Code:GRC-90296

Live Session - How it works

  • Username and Password will be sent to you within 24 hours prior to the webinar.
  • Presentation handouts in pdf format will be emailed to along with the login instructions or few hours before the meeting starts.
  • Login to the session by clicking on “Join the Meeting” in the login instructions and then dial the number to connect to the meeting audio or use your Computer to connect to audio. Please use the name and the email address you used at the time of registration to join the meeting.
  • Get answer to your queries through interactive Q&A sessions. The Q and A sessions are at the end of the meeting. The expert will complete his/ her presentation and then the phone lines will be open for the audience to discuss your questions.
  • Please let us know your thoughts and views at the end of webinar, your valuable feedback will help us improve our Training programs.
  • Certificate of attendance is emailed to you within 6 working days from the date the webinar was completed. If you don’t receive an email within 6 days. Please email our support@grcts.com

Recorded Session - How it works

  • Login Information with Password to view the webinar will be emailed to you within 48 hours from the date the Live webinar was completed. The link to the recording is for a single person use only and it is valid for 6 months or the actual duration the recording was purchased.
  • Please click on the link to access the Recording and type in the password provided in the email.
  • Presentation and other handouts will be emailed to you in a pdf format.

Training CD - How it works

  • Free shipment within 2 working days, from the date the webinar was completed. The presentation and other handouts will be emailed to you in a pdf format if we are unable to attach them in the CD or USB.

(For more information about our products contact +1- 248-233-2049)

If you are unable to attend the meeting Live then you can opt in for the Live Recording instead. Access the recording of the webinar for 6 months. Contact our support for any questions. To prepare an invoice to pay by Check or Wire email us at support@grcts.com.

NASBA

Group Internet Based | 1.5 (1 CPE for 50 minutes) | Finance - 1.5CPE (1.5 CPE) | Intermediate | Prerequisites - None| No advance preparation.

Description:

Risk assessment is a process whereby the risks and controls of an entity are identified and evaluated to determine if the residual risk is within the firm’s risk appetite limit.  An entity could be a company, department, legal entity or business.  It could also be more narrowly defined as a process, business objective, product, compliance with a specific law or regulation, etc. Risk assessments can be applied to existing entities or emerging ones such as new products, acquisition targets or outsourcing projects. The risk assessment process should be implemented both as a high level, “top-down” review and as a detailed (“bottom-up”) review of risk and control.

Why you must attend: 

Risk Assessments establish the foundation for all other components of the risk management program.  Simply put, if a risk is not identified, there is no chance that Key Risk Indicators, Scenario Analysis, or any other analysis of that risk will be performed. Additionally, if a risk is not properly assessed and prioritize, mitigating strategies may be inadequate, which will create unacceptable residual risk. The value of conducting both high-level assessments of all business units and detailed assessments of their most significant processes has been confirmed throughout the years as firms that have a rigorous risk assessment process are less vulnerable to unexpected risk events. Key processes must be regularly validated and risk assessment is a critical component of several compliance programs such as Sarbanes-Oxley Section 404 Internal Control Over Financial Reporting, Customer Privacy, Money Laundering and Anti-bribery.       

Areas covered in this session:

  • Articulate your business objectives and define the scope of your risk assessment
  • Identify the most appropriate risk assessment technique
  • Plan and facilitate a risk assessment
  • Identify and group risks
  • Tailor a risk matrix to enable you to rate your risks
  • Evaluate risks based on their rating and your organization’s risk tolerance

Who will benefit from attending this meeting:

  • Banks, 
  • Asset Managers, 
  • Broker/Dealers, 
  • Insurance Companies and all other financial institutions.
  • Supervisors
  • Financial Officers
  • Risk Officers
  • Internal Auditors
  • Operational Risk Managers
  • Internal Auditors
  • Board members
  • General (legal) counsel
  • Financial officers
  • Internal and external auditors
  • Operational risk managers
  • Regulators who supervise or examine banks or financial institutions
  • CFOs (Chief Financial Officers)
  • COO (Chief Operating Officers)
  • CRO (Chief Risk Officers)
  • CIO (Chief Information Officers)
  • CPAs (Certified Public Accountants)
  • CBAs (Chartered Bank Auditors)
  • CIAs (Certified Internal Auditors)
  • CFEs (Certified Fraud Examiners)

Audience that must attend:
  • Risk Officers
  • Compliance Officers
  • Internal and External Auditors
  • Financial Controllers
  • Operations Managers
  • Treasurers
  • Board Members
  • Business Managers
  • Investment Managers
Instructor:
Mario Mosse has over 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 Risk Management and Internal Audit.

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: www.nasbaregistry.org 

Available Options

Recording: Access the training Recording for 6 months from any location

$269

CD: Shipped within 2 working days

$389

USB - Shipped within 2 working days

$409

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