Motivational Risk Management and Operations Training

Risk Management is essential to an organizations DNA.  Effective Risk Management should be the backbone of an organizational culture and must be supported by management.  Your employees know your organization best.  They are not only the practitioners of your firm’s risk management program, but are your greatest resource in ensuring its continued effectiveness and successful adaptability to organizational and regulatory change over time.

Motivational risk management and operations training is designed to provide employees not only with an understanding of regulations, but also to support  the needs of organizational evolution by providing a context for the rules and regulations, why they were created and how they have changed overtime, or may evolve in the future.  The program is designed to build on fundamental knowledge while integrating key concepts, regulations and regulatory structures.  It can also include specific review of your organization’s policies and procedures and tie them directly to broader concepts.

Why is it called motivational training?  Our training is designed to motivate your team to participate, to contribute and to collaborate to a common risk goal and shared control culture.  Programs can be designed for front, middle or back offices, or most effectively as a joint business exercise, which to allows for active cross organization collaboration.

Our methodology is to tailor training content to fit your organizations specific needs.  Some common topics include:

  • Fiduciary Responsibilities and Duties
  • Reg 9
  • Pricing Methodology and Cost Basis
  • Risk Assessment
  • Control Testing and the Three Lines of Defense
  • Securities Operations
  • Prohibited Transactions
  • T+2 Settlement
  • Vendor Management
  • Business Resumption