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How to Develop an Effective Enterprise Risk Management Program

Mario Mosse, President of MMosse Consulting, LLC
Coming soon.. Please contact customer care for new schedule

"How to Develop an Effective Enterprise Risk Management Program" - This course is approved by NASBA (National Association of State Boards of Accountancy). Seminar attendees are eligible for 16.4 CPE credits upon completion of this workshop.

Course Description:

Given the current risk landscape, it is imperative that financial institutions establish an Enterprise Risk Management (ERM) program to ensure a holistic approach to risk management and to ensure all necessary tasks are carried out in a coordinated manner.

This course covers all the elements of an effective ERM program designed for a financial services company (banking, insurance and asset management), and meeting regulatory requirements and expectations. An effective ERM program provides senior management and the board of directors with a solid foundation for risk governance. In addition this program provides attendees with an overview of significant risks faced by financial institutions and the most common practices in place to address them.

This is an executive-level presentation, where information is shared mainly through examples, case studies and personal experience. Major concepts and ideas, as opposed to highly technical or quantitative methods, are used to describe risks and mitigating controls.

Workshops using case studies will be conducted to review the most practical ways for:

  • Developing and Implementing Risk Appetite and Tolerance Limits
  • Selecting and Tracking Key Risk indicators
  • Building and Using a Risk Register and a Risk Assessment Matrix
  • Managing Reputation Risk
  • Managing Risk of Large Projects, New Products and Major initiatives

Learning Objectives:

  • Enterprise Risk Management
  • Corporate Governance/Risk Governance
  • Risk Management Regulatory Framework
  • Capital Management
  • Risk Assessment and Mitigation
  • Regulatory Compliance
  • Basel Committee Guidelines
  • COSO ERM Integrated Framework

Seminar Fee Includes:

AM-PM Tea/Coffee
Seminar Material
USB with seminar presentation
Hard copy of presentation
Attendance Certificate
$100 Gift Cert for next seminar

Course Benefits:

At the end of the course, participants will be able to evaluate the risk management framework existing in their companies to determine if they satisfy regulatory requirements, conform to industry practices and provide senior management and the board of directors with timely and reliable information. Additionally, participants should be able to develop plans to enhance existing policies and procedures and train the risk management staff.

Areas Covered:

  • Enterprise Risk Management's purpose, mission, organization and responsibilities
  • Risk management regulatory framework, requirements and major guidelines
  • Corporate Governance and the Chief Risk Officer's role
  • Risk management policies, appetite and tolerance limits
  • Major tools and processes used to identify, assess and manage risk
  • Integration of ERM in the decision making process
  • Risk data aggregation and reporting
  • Current topics in risk management
  • Implementation of an effective ERM program

Who will Benefit:

  • Risk Officers
  • Compliance Officers
  • Internal and External Auditors
  • Financial Controllers
  • Board Members
  • Senior Executives
  • Business Managers
  • Operations Managers

We are registered with and adhere to the Statement on Standards for Continuing Professional Education programs of the National Registry of CPE Sponsors. Our registration number is 109066. Please check with the governing body of your license and state for specific CPE requirements. Grievances may be forwarded to the company at 650 620 3961. Grievances may also be forwarded to the National Registry of CPE Sponsors-NASBA, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417, 615-880-4200,, e-mail

Field of Study:
  • Auditing: 2.4 CPE Credits
  • Business Management & Organization: 3.2 CPE Credits
  • Finance: 1.2 Credits
  • Management Advisory Services: 2.4 CPE Credits
  • Regulatory Ethics: 2.4 CPE Credits
  • Specialized Knowledge and Applications : 3.6 CPE Credits
  • Statistics: 1.2 CPE Credits
  • Total CPE credits earned in this workshop: 16.4 CPE Credits

Program Delivery Method: Group-Live
Program Level: Intermediate
Advance Preparation/Program Prerequisites: Basic knowledge of finance, risk management, internal control and audit techniques.

Course Outline:

Day 1 (8:30 AM – 4:30 PM) Day 2 (8:30 AM – 4:30 PM)

Registration Process: 8:30 AM

    • Lessons learned from the financial crisis
    • Value proposition for ERM
    • Key principles and definitions
    • Components of an effective ERM framework
    • Bank for International Settlements
    • Basel Committee on Banking Supervision
    • Financial Stability Board
    • COSO ERM Framework
    • Other important guidance
    • Board and management governance structure
    • The Chief Risk Officer role
    • Components of an ERM Policy
    • Risk appetite, limits and tolerance levels
    • Reputation Risk
    • Risk-control assessments
    • Key risk indicators
    • Value-at-risk and economic capital models
    • Stress-testing and scenario analyses
    • Integrating qualitative and quantitative tools
    • Independence of the risk management function
    • Integration of ERM and business processes
    • Linkages between risk, capital, and value management
    • Risk transfer strategies
    • Board and management reporting
    • Dashboard reports and technologies
    • Performance measurement and feedback loop for
    • Emerging risk or “black swan” analysis
    • Model risk
    • New product development and approval
    • Project risk management
    • Review of new initiatives and significant projects
    • Vendor and outsourcing risk
    • Risk data aggregation and reporting
    • Implementation requirements
    • Linking ERM and incentive compensation systems
    • Integrating strategic planning and ERM
    • Rating agency criteria for ERM
    • Key success factors as a risk professional
    • Risk management training
    • Group discussion of key takeaways
    • Closing remarks

Meet Your Instructor:

Mario Mosse
President of MMosse Consulting, LLC

Mario Mosse has over 40 years of experience in operational 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, Mr. Mosse was with The Chase Manhattan Bank, where he held several senior positions in internal audit and risk management.

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Yes, I want to attend "How to Develop an Effective Enterprise Risk Management Program".

If you are paying by check:

Checks should be payable to MetricStream Inc. (our parent company) and mailed to:
2479 East Bayshore Road
Suite 200
Palo Alto, CA 94303

Group Registrations

Significant tuition discounts are available for teams of two or more from the same company. You must register at the same time and provide a single payment to take advantage of the discount.

2 Attendees - Get 10% off
3 to 6 Attendees - Get 20% off
7 to 10 Attendees - Get 25% off
10+ Attendees - Get 30% off

Register by Wire Transfer

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Your registration for the seminar is subject to following terms and conditions. If you need any clarification before registering for this seminar please call us @ +1-888-717-2436 or email us @

Payment is required 2 days before the date of the conference. We accept American Express, Visa and MasterCard. Make checks payable to MetricStream Inc. (our parent company).

Cancellations and substitutions:
Written cancellations through fax or email (from the person who has registered for this conference) received at least 10 calendar days prior to the start date of the event will receive a refund — less a $200 administration fee. No cancellations will be accepted — nor refunds issued — within 10 calendar days before the start date of the event.

On request by email or fax (before the seminar) a credit for the amount paid minus administration fees ($200) will be transferred to any future ComplianceOnline event and a credit note will be issued.

Substitutions may be made at any time. No-shows will be charged the full amount.

We discourage onsite registrations, however if you wish to register onsite, payment to happen through credit card immediately or check to be submitted onsite. Conference material will be given on the spot if it is available after distributing to other attendees. In case it is not available, we will send the material after the conference is over.

In the event ComplianceOnline cancels the seminar, ComplianceOnline is not responsible for any airfare, hotel, other costs or losses incurred by registrants. Some topics and speakers may be subject to change without notice.

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After we receive the payment from the registered attendee, an electronic event pass will be sent to the email address associated with the registrant 5 working days before the seminar date. Please bring the pass to the venue of the event.

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What past attendees say

I have been to many ERM conferences and this is the best one I have attended. It is very comprehensive and in-depth. Mario is a very knowledgable professional.
- Assistant Vice President & Senior Risk Analyst, Ocean Bank.

Mosse was an excellent instructor and shared his rich knowledge and experience of entity risk management. I am confident that I can take what I have learned and apply it immediately. ComplianceOnline provided an excellent training and the team was professional and responsive.
- Senior Internal Auditor, Visa Inc.

Media Partners



Media Partner Benefits
  • Logo and company data on the event website.
  • Logo on the conference material distributed during the conference.
  • Media Partner’s brochure distributed along with conference material.
  • Logo on all the mailings before and after the event.
  • 10% discount to media partner's subscribers.

Media Partner to do
  • Banner (min 728x90 or 468x60) on the Media Partner website.
  • Insertion of the event in the event calendar, both printed and/or online.
  • Announcement article of the conference on the Magazine and/or Website.
  • Dedicated email blast to all subscribers of Media Partner.
  • Article on the Magazine and/or Website after the conference.

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