ComplianceOnline

How to Conduct High Quality Risk Assessments

Instructor: Mario Mosse
Product ID: 704994
  • 19
  • October 2017
    Thursday
  • 11:30 AM PDT | 02:30 PM EDT
    Duration: 90 Min

Live Online Training
October 19, Thursday 11:30 AM PDT | 02:30 PM EDT | Duration: 90 Min

$199.00
One Dial-in One Attendee
$399.00
Group-Max. 10 Attendees/Location
(For multiple locations contact Customer Care)

recorded version

$229.00
1x Person - Unlimited viewing for 6 Months
(For multiple locations contact Customer Care)
Recorded Link and Ref. material will be available in My CO Section 48 hrs after completion of Live training

Training CD

$399.00
One CD is for usage in one location only.
(For multiple locations contact Customer Care)
CD and Ref. material will be shipped within 15 business days after completion of Live training

Combo Offers

Live + Recorded Version

$329.00

Live + Training CD

$499.00

Customer Care

Fax: +1-650-565-8542

Email: customercare@complianceonline.com

Read Frequently Asked Questions

This training program will help articulate your business objectives and define the scope of your risk assessment. It will guide attendees in identifying the most appropriate risk assessment technique and plan and facilitate a risk assessment. Further, the session will help tailor a risk matrix to enable you to rate your risks.


"How to Conduct High Quality Risk Assessments" - This course is approved by NASBA (National Association of State Boards of Accountancy). Attendees of Live Webinar are eligible for 1.8 CPE credit up on full completion of the course.

Why Should You Attend:

Risk assessments establish the foundation for all other components of the risk management program. Simply put, if a risk is not identified, there is no chance that key risk indicators, scenario analysis, or any other analysis of that risk will be performed. Additionally, if a risk is not properly assessed and prioritize, mitigating strategies may be inadequate, which will create unacceptable residual risk. The value of conducting both high-level assessments of all business units and detailed assessments of their most significant processes has been confirmed throughout the years as firms that have a rigorous risk assessment process are less vulnerable to unexpected risk events.

This webinar will explore how key processes must be regularly validated and why risk assessment is a critical component of several compliance programs such as Sarbanes-Oxley Section 404 internal control over financial reporting, customer privacy, money laundering and anti-bribery.

Areas Covered in the Webinar:

  • Articulate your business objectives and define the scope of your risk assessment
  • Identify the most appropriate risk assessment technique
  • Plan and facilitate a risk assessment
  • Identify and group risks
  • Tailor a risk matrix to enable you to rate your risks
  • Evaluate risks based on their rating and your organization’s risk tolerance

Who Will Benefit:

  • Asset Managers
  • Broker/Dealers
  • Supervisors
  • Financial Officers
  • Risk Officers
  • Internal and External Auditors
  • Operational Risk Managers
  • Internal Auditors
  • Board Members
  • General (Legal) Counsel
  • CFOs (Chief Financial Officers)
  • COOs (Chief Operating Officers)
  • CROs (Chief Risk Officers)
  • CIOs (Chief Information Officers)
  • CPAs (Certified Public Accountants)
  • CBAs (Chartered Bank Auditors)
  • CIAs (Certified Internal Auditors)
  • CFEs (Certified Fraud Examiners)
  • Banks, insurance companies, and all other financial institutions
  • Regulators who supervise or examine banks or financial institutions
Instructor Profile:
Mario Mosse

Mario Mosse
President, MMosse Consulting LLC

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

Topic Background:

Risk assessment is a process whereby the risks and controls of an entity are identified and evaluated to determine if the residual risk is within the firm’s risk appetite limit. An entity could be a company, department, legal entity or business. It could also be more narrowly defined as a process, business objective, product, compliance with a specific law or regulation, etc. Risk assessments can be applied to existing entities or emerging ones such as new products, acquisition targets or outsourcing projects. The risk assessment process should be implemented both as a high level, “top-down” review and as a detailed (“bottom-up”) review of risk and control.

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 Minutes CPE
Auditing 30 0.6
Business Management & Organization 30 0.6
Specialized Knowledge and Applications 30 0.6
Total Duration - 90 Min Total Credits - 1.8

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Refund Policy

Registrants may cancel up to two working days prior to the course start date and will receive a letter of credit to be used towards a future course up to one year from date of issuance. ComplianceOnline would process/provide refund if the Live Webinar has been cancelled. The attendee could choose between the recorded version of the webinar or refund for any cancelled webinar. Refunds will not be given to participants who do not show up for the webinar. On-Demand Recordings can be requested in exchange.

Webinar may be cancelled due to lack of enrolment or unavoidable factors. Registrants will be notified 24hours in advance if a cancellation occurs. Substitutions can happen any time.

If you have any concern about the content of the webinar and not satisfied please contact us at below email or by call mentioning your feedback for resolution of the matter.

We respect feedback/opinions of our customers which enables us to improve our products and services. To contact us please email customercare@complianceonline.com call +1-888-717-2436 (Toll Free).

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