Managing Risk in the Financial Services Industry
This one-day course aims to explain the legal and compliance background to risk management, before considering in a non-mathematical way the core principles and processes of managing risk.
Course is based on the UK legal system.
Course is based on the UK legal system.
Who is this course for?
- Compliance Officers: Ideal for professionals tasked with ensuring adherence to regulations in financial services.
- Administration and Operations Staff: Designed for those managing or supporting the day-to-day functioning in financial institutions.
- Managers in Financial Services: Suitable for leaders who need a solid understanding of risk management principles.
- Financial Advisers: Beneficial for professionals advising clients within the financial sector.
- Other needing foundational knowledge of risk management and control, without delving into market risk or portfolio sensitivity analysis.
Language of the course
English
Training level
beginner
Learning outcomes
- UK Legal Background and Corporate Governance Issues
- Compliance, Company Law
- FSMA 2000
- Sarbanes-Oxley
- Combined Code of Corporate Governance
- FCA Requirements
- Strategy and Business Risk
- Management Reporting and Balanced Scorecards
- KPIs and KRIs
- Risk Appetite and Risk Control Structures
- Management of the Components of Risk
- Credit risk
- Operational risk
- Market risk
- Other (e.g. liquidity, legal, reputational etc.)
- Enterprise Risk Management
- Examples of Poor Risk Management in the Financial Services Industry
„The training was very well prepared, the materials contain a lot of information, examples. Everything well explained and communicated.”
From a feedback form on tailored training provided in 2023.5,57/6
Average evaluation of tutors and training materials among participants of workshops for companies organized in 2023-2024.„The presenter was able to include so much detail in quite a short time in a really cool way. I will remember a lot from the training and will use this knowledge in the future.”
From a feedback form on tailored training provided in 2023.97%
of all participants of the 2023-2024 tailored workshops for companies would recommend our training to their friends!
Open courses
Our open courses are short courses taught by experienced tutors whose role is to give you practical knowledge and skills that you can use immediately in your daily work.
It's a great opportunity to expand your knowledge and enhance your skills, whether you're motivated by an internal desire to develop or by your employer.
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