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How to Conduct High Quality Risk Assessments

August 19 @ 11:00 am - 12:00 pm CDT


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




2600 E. Bayshore Road
Palo Alto, CA 94303 United States
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