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Risk in Investment Services Firms & Operational Risk Management


CPDs: 5


  • Managing risk
  • Risk types
  • Market risk
  • Operational risk – Managing risk
  • Liquidity risk
  • Business risk
  • Legal and compliance risk
  • Risk register
  • Stress testing
  • The risk management process
  • Types of operational risk
  • Firm’s main operational risks
  • Operational risk management basics

  • Tools of OP risk Management
  • The problem with operational risk
  • Best practices in operational risk
  • Operational risk management essentials – Process / Control analysis
  • Integrated OP Risk Analysis
  • Scenario Analysis
  • Managing Operational Risk
  • Main risk indicators
  • Continuous supervision
  • Insurance
  • Helping small businesses





  1. Cover all key risks in financial services – operations, credit, markets, investment and liquidity, business risks, corporate governance, regulations, and risk management
  2. Understand the techniques used to identify, reduce, and manage specific risks
  3. Understand what operational risk management and the best practices is
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