ComplianceOnline

"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.

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

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

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, www.learningmarket.org, e-mail cpe@nasba.org.

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.

Register by phone or need assistance? Call +1-888-717-2436 Register Now Download Brochure
Day 01(8:30 AM - 4:30 PM)
  • 08.30 AM - 09.00 AM: Registration
  • 09.00 AM: Session Start
  • ENTERPRISE RISK MANAGEMENT (ERM) IN CONTEXT
    • Lessons learned from the financial crisis
    • Value proposition for ERM
    • Key principles and definitions
    • Components of an effective ERM framework
  • REGULATORY FRAMEWORK
    • Bank for International Settlements
    • Basel Committee on Banking Supervision
    • Financial Stability Board
    • COSO ERM Framework
    • Other important guidance
  • GOVERNANCE STRUCTURE AND RISK POLICIES
    • Board and management governance structure
    • The Chief Risk Officer role
    • Components of an ERM Policy
    • Risk appetite, limits and tolerance levels
    • Reputation Risk
  • RISK ASSESSMENT AND QUANTIFICATION TOOLS
    • Risk-control assessments
    • Key risk indicators
    • Value-at-risk and economic capital models
    • Stress-testing and scenario analyses
    • Integrating qualitative and quantitative tools
Day 02(8:30 AM - 4:30 PM)
  • RISK-RETURN MANAGEMENT
    • Independence of the risk management function
    • Integration of ERM and business processes
    • Linkages between risk, capital, and value management
    • Risk transfer strategies
  • DASHBOARD REPORTING AND MONITORING
    • Board and management reporting
    • Dashboard reports and technologies
    • Performance measurement and feedback loop for
  • ERM CURRENT TOPICS
    • 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
  • OTHER TOPICS
    • 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
  • SUMMARY AND CONCLUSION
    • Group discussion of key takeaways
    • Closing remarks
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Mario Mosse

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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Register Now

Online using Credit card

$1,399.00

Seminar One Registration

February 23-24, 2017, Las Vegas, NV
(For Registrations till December 20, 2016 - $1399)
(For Registrations till January 20, 2017 - $1499)
(For Registrations after January 20, 2017 - $1699)

$6,449.00
$8,394.00 (23%)*

Save $1,945.00

Special Group Discount Register for Six attendees

February 23-24, 2017, Las Vegas, NV
*Hurry! This option is limited and based on availability.
Great Savings with Group Ticket!!! Only 3 left



Early bird seats are limited and based on first-come, first-serve.

Your registration fee includes the workshop, all course materials and lunch.


For discounts on multiple registrations, contact customer care at +1-888-717-2436.

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Payment Mode

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Pay your check to (payee name) “MetricStream Inc” our parent company and Mail the check to:

ComplianceOnline (MetricStream, Inc),
2479 East Bayshore Road Suite 200
Palo Alto, CA 94303
USA

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Terms & Conditions to Register for the Seminar/Conference/Event

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 @ customercare@complianceonline.com

Payment:
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 $300 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 ($300) 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.

Attendance confirmation and documents to carry to the seminar venue:
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.

Conference photograph / video:
By registering and attending ComplianceOnline conference, you agree to have your photographs or videos taken at the conference venue and you do not have any objections to ComplianceOnline using these photos and videos for marketing, archiving or any other conference related activities. You agree to release ComplianceOnline from any kind of claims arising out of copyright or privacy violations.

Location:

Las Vegas, NV
(Venue to be announced shortly)

February 23-24, 2017

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Testimonials

See What People Say About Us

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.

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If you wish to partner with us for this event please contact us: partner@complianceonline.com or call us: +1-888-717-2436.

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  • A full page brochure advert
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If you wish to sponsor this event please contact Cruise Webster: cwebster@complianceonline.com or call us: (207) 576-4173

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