Control, fraud and exposure risks for accounting, banking, audit and investment courses.
A worked example of how an insurance operations team finds, scores and controls risks in life and health claims, policy administration, customer data, conduct and reporting, showing inherent and residual ratings.
A worked example of how an advisory team identifies, scores and controls the risks that can undermine an acquisition or merger, from weak valuation and leaked deal information to conflicts, funding gaps and failed integration.
A worked example of how a deal team identifies, scores and controls the risks that threaten value from acquisition, integration and restructuring, from overpayment and data loss to people, supplier and legal exposure.
A worked example of how a finance team identifies, scores and controls the risks that affect accurate personal and corporate tax returns, timely filings, reliable records and protection of taxpayer data.
A worked example of how a private equity or venture capital team finds, scores and controls risks in portfolio valuation, fund reporting, conflicts, cash movements, deal data, outside service providers and governance duties.
A worked example of how a small private wealth and estate planning practice finds, scores and controls the risks that threaten client assets, advice quality, family confidentiality and succession duties, from valuation errors and conflicts to data exposure and missed filings.
A worked example of how a compliance team finds, scores and controls the risks in onboarding, monitoring, screening, reporting and governance that bear on money laundering exposure and regulatory duties, with inherent and residual ratings.
A worked example of how a bank operations team identifies, scores and controls risks in retail and commercial banking, from handover errors and payment fraud to outages, supplier dependency and conduct duties.
A worked example of how a trading desk and its support functions find, score and control the risks in securities and derivatives, from mispriced positions and counterparty default to conduct breaches and weak reconciliations.
A worked example of how a finance team finds, scores and controls the risks in structuring debt and equity raises, from valuation error and conflicts to cash waterfalls, data integrity and investor reporting.
A worked example of how a wealth management team finds, scores and controls the risks that threaten client portfolios, from mandate breaches and fraud to conflicts, valuation errors, tax reporting and cyber exposure.
For Learning Reference Only: This assessment demonstrates how risk assessment principles are applied in a practical setting, providing a useful reference for learning and understanding. Actual assessments may be adapted to suit specific site conditions and circumstances.
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