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Operational Risk
Learn the causes of operational risk incidents and how to prevent them

This customisable 1-day course is targeted at banking staff and can be conducted in the convenience of your meeting room.


Training prices start from a TOTAL fee of $3,500 a day for a maximum of 20 staff. Costs include all materials, including customised handbooks for all participants.



                 Meeting/conference room and catering available.                   



  • Definition of Operational Risk & risk categories

      BIS definition of Operational Risk

      Other types of industry risk: 
         - Market
         - Liquidity Risk


  • Industry Governance

      Basel II

         - 3 pillars
         - Basic vs Standardized Approach

      Basel III

      What’s changing?

      What will the impact be on financial institutions

      Sarbanes Oxley


  • Trade Cycle Operational Risks


         - The role of Sales, Legal and Compliance


         - Trade capture
         - Position limits


         - Trade affirmation versus confirmation


         - Importance of settlement instructions
         - Trade reporting
         - The importance of accurate reconciliation
         - Impact of missing trade or cash breaks


  • Causes of Operational Risk Incidents

      Process Failure
         - Absence of, or not following procedures 

         - Incorrect execution
         - Failed Settlement


  • Technology

      Systems failure

      New system implementation


         - Appropriate training and staffing levels

         - Fraud

         - Human error
         - Key person dependency
         - Performance and motivation
         - Outsourcing – does it increase operational risk?
      Case study: Analyze examples of operational risk incidents, identify root causes, and prevention


  • Prevention and Mitigation of Operational Risk


      Incident Review

      Vacation Policy
      Business Continuity Plans
      Exercise: Create a plan for how a firm should implement new operational risk strategies following a                             major incident


  • Real life case studies: what can happen when things go wrong?

      Direct Loss

      Near miss

      Client impact

      Regulatory Breach

      Incorrect Data/Positions

      Case study: reviewing an operational risk incident and identifying impact


Read our testimonials here.

To enquire, email                

"Everything was very well-organised. The course handbook was detailed and well-planned, the materials were very useful, the activities were fun and venue was excellent! A wonderful training experience."


- Lim Ai Hua, Course Graduate


More testimonials here.

         Why you should attend



- Understand the key components of operational risk and their impact


- Get the latest updates on what's changing in industry governance


- Analyse examples of operational risk incidents and learn how to prevent them


- Learn how to create a action plan after a major risk incident 


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