Financial Risk Management Courses in London

 

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Risks and Controls in Securities Operations£ 9801 dayLondon     22nd

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Please See Below For Course Information On 'Risks and Controls in Securities Operations'



Overview

This course is now a 2 day course.

Trade Lifecyle Overview
Order Management
- Trade execution, capture, enrichment, agreement, Settlement Instructions, Pre-value date statuses, Failed trades, trade settlement, static data.
Primary Risks in the Trade Lifecycle
-Focus on each trade lifecycle component to identify risks giving rise to monetary loss and reputation loss.
Primary Risks in other Operations Activities
-Focus on a variety of non trade lifecycle activities to identify risks.
-Safe custody holdings in incorrect accounts
-Free of payment settlement
-Unnecessary securities borrowing
-Inaccurate positions resulting from corporate actions
Primary Controls
-Verification
-Four Eyes Checking
-Reconciliation
-Segregation of Duties
-Culture
Detailed Risk Analysis
- Delving deep into numerous operations scenarios, pre-fined problems will be analysed in order to:
-State the specific risk
-The probable cause
-The ideal control
-How the control is to operate

Who is it for?

Back Office and Middle Office Managers and Staff
Internal Audit, Risk and Accounting Executives
Settlement and Custody Staff
IT and Systems Executives developing or supporting systems in this area
Front Office + Compliance executives + staff wishing to understand Back Office risks + controls
Participants need to have at least 6 months work experience in or with Back Office or Operations or Custody areas + to have a basic Securities knowledge

What will I learn?

This course within two days provides a good Risk and Controls awareness for operations. It helps the early identification of risks, an application of appropriate and timely controls, & helps reduce the possible escalation of dangerous situations within normal day-to-day activity.
It also helps all staff within Securities Operations to have a common and consistent outlook towards risks and controls so minimising financial losses & maintaining the high quality service levels clients now expect

How will I be assessed?

A course certificate will be presented at the end of the course.

Address

The Public course is provided at a Central London Hotel. Or at your offices for an In-house tailored course

Additional Notes

If you have several people (up to 16 delegates) to train then an in house course at your offices may prove more cost effective. We can then tailor the course to meet your needs.

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