Financial Risk Management

Managers and executives from financial sector organisations who wish to strengthen their compliance risk mitigation and want to effect a greater awareness of compliance within their organisation:



• Risk managers
• Decision makers in their organisation
• New compliance officers
• Internal auditors tasked with auditing the compliance function
• Legal department managers
• Treasury staff

• Describe to role of the Chief Compliance Officer in regulatory compliance and risk management
• Review your financial institution’s existing processes and procedures and make recommendations for changes to bring them to international standards
• Establish policies and procedures for conflicts of interest management and application of internal controls
• Improve internal reporting to the Regulator, Board and Senior Management
• Identify, analyse and mitigate compliance risks

Types of Financial Risk

• Risk management frameworks
• Key areas of financial risk
• The main families of risk and risk classification
• The four T’s of risk treatment

Exploring Market Risk

• The main types of market risk
• Equity risk
• Interest rate risk
• Currency risk
• Commodity risk
• Market risk mitigation strategies

Liquidity Risk

• Defining liquidity risk and how it arises
• Market liquidity
• Asset liquidity
• Funding liquidity
• Liquidity risk mitigation strategies

Credit Risk

• Types of credit risk
• Default risk (counterparty) and impact
• Concentration risk
• Gearing risk
• Credit risk mitigation strategies

Linking Governance, Risk and Compliance (GRC)

• The role of the board in setting the tone at the top and agreeing risk appetite
• Integrating GRC to eliminate duplicated efforts
• Development of financial risk audits
• Compliance with Codes of Corporate Governance