How to Conduct High Quality Risk Assessments - NASBA CPE - 1.5
- Speaker:Mario Mosse
- Product Code:GRC-90414
- NASBA CPE: 1.5
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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 Should Attend:
- Asset Managers,
- Insurance Companies and all other financial institutions.
- Financial Officers
- Risk Officers and Compliance Officers
- Internal Auditors
- Operational Risk Managers
- Internal and External 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)
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