This new qualification has been devised to offer staff employed within financial services a global introduction to the key risks that arise within financial services. The qualification will cover general principles of business risk, the influence of corporate governance, key international regulatory frameworks and techniques of risk management and will include operational, credit, market, investment and liquidity risks.

Risk in Financial Services has been developed in consultation with expert practitioners from leading global financial services firms, trade bodies and training providers to meet the needs of the industry.

Intended for

  • Risk teams
  • Compliance teams
  • Branch management
  • Corporate lawyers
  • Finance officers
  • Senior managers of all disciplines
  • Existing and aspiring non-executive directors

Exam Structure

  • Risk in Financial Services is a two hour exam with 100 multiple choice questions.
  • The pass mark for the examination is 70%.

Course Content

  • Element 1 - Principles of Risk Management

    • Introduction to Risk in Business
    • Specific Risks in Financial Services
  • Element 2 - International Risk Regulation

    • The Bank for International Settlements
    • Basel Regulatory Capital and Operational Risk Requirements
    • Principles-Based Regulation
    • Other Relevant Regulations
  • Element 3 - Operational Risk

    • Definitions of Operational Risk
    • Operational Risk Policy
    • Operational Risk Framework
    • Operational Risk Identification
    • Operational Risk Assessment and Measurement
    • Managing Operational Risk
  • Element 4 - Credit Risk

    • Identification of Credit Risk
    • Credit Risk Measurement
    • Credit Risk Management
  • Element 5 - Market Risk

    • Identification of Market Risk
    • Market Risk Management
  • Element 6 - Investment Risk

    • The Measurement of Investment Returns
    • Identification and Measurement of Investment Risk
  • Element 7 - Liquidity Risk

    • Identification of Liquidity Risk
    • Measurement of Liquidity Risk
    • Management of Liquidity Risk
  • Element 8 - Corporate Governance an Risk Oversight

    • Internal Corporate Governance
    • Culture and Leadership
    • Risk Governance within Financial Services Organizations
  • Element 9 - Model Risk

    • Overview of Model Risk
  • Element 10 - Enterprise Risk Management (ERM)

    • Overview of Enterprise Risk Management (ERM)
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