Operational Risk Management - Investment Banking

Overview
Objectives & Outline
Methodology
Participant Profile
Trainer

Overview

PROGRAMME DETAILS
DATE
10 March 2020
TIME
9:00 AM – 5:00 PM
VENUE
Asian Banking School
This one-day programme provides insight and practical tools to increase participants’ understanding of managing Operational Risk in capital market institutions. It will discuss the framework and knowledge required to use key techniques and tools of Operational Risk Management in the Capital Markets; with learning achieved through theory and approach scenarios, as well as real-life examples.
LEARNING LEVEL
Foundation
PROGRAMME FEE
AICB / MIBA MEMBER
MYR
1,400*
/ PAX
NON-MEMBER
MYR
1,600*
/ PAX
*Subject to 6% Service Tax
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Objectives & Outline
LEARNING OBJECTIVES
By the end of the programme, participants will be able to:
Recognise emerging issues and trends related to operational risk in the capital market industry
Identify the sources of operational risk and how these arise within the context of capital market institutions’ main business activities
Identify the governance structures, systems, procedures and cultural aspects necessary for capital market institutions to successfully manage operational risk
Identify risk management practices in capital market institutions
Recognise the desired behaviours in developing a risk management culture in capital market institutions
PROGRAMME OUTLINE
Risk Management Overview
Overview of Risk Management in the capital markets
Describe the essential elements of Risk Management
Describe what “normally goes wrong” in a capital market institution
Describe how risk can be aggregated and mitigated

Introduction to Operational Risk
Definitions of Operational Risk
Examples of significant Operational Risk losses
Current industry drivers of increasing Operational Risk in capital market financial institutions: complexity, innovation, litigation etc.

Definition of Risk Classes
Illustrate the potential forms of Operational Risk losses
Describe the Basel risk categories for loss data capture and how they are relevant to financial and capital market Institutions

Operational Risk Governance
Risk management process
Roles and responsibilities of the board, senior management and support functions
Defining risk appetite for operational risk
Evaluate corporate governance standards
Three lines of defence
Operational Risk framework
Operational Risk cycle – identification, assessment, measurement, mitigation and management
The role of culture in enterprise-wide management of operational risk in capital market institutions

Management of Operational Risk
Operational Risk policy
Control risk self-assessment
Key risk indicators
Scenario analysis
Operational Risk incident reporting
Improving risk processes
Methodology

Lectures and workshop-styled discussions and presentations
Participant Profile

Operational Risk managers and officers, operations staff, IT staff, Risk Managers, Compliance Officers, Regulators, auditors, supervisors, ERM managers, middle management and individuals requiring an understanding of Operational Risk
Trainer

Cheah Wee Leong
Cheah Wee Leong is the Director of Investment Banking Training at the Asian Banking School and has more than 25 years’ experience working in the banking industry. He started his career at Citibank in 1993 before joining US management consultancy firm Accenture in 1997. At Accenture, he was involved in managing large bank merger-integration, process re-engineering and transformation projects. He has worked in projects in various countries including Hong Kong, China, Singapore, Indonesia, Thailand, Mauritius and Saudi Arabia.

In 2003, Wee Leong joined CIMB as its Head of Operational Risk Management and led the implementation of the bank’s operational risk management and Basel 2 – Operational Risk framework. Subsequently, he assumed various senior roles in Regional Transaction Banking, Corporate Banking, Treasury and Markets division, and Group CEO’s office at CIMB. His last role at CIMB was as Director, Group Strategy.
Wee Leong holds a Bachelor of Business Administration from the U.S. and a Master of Business Administration (with Distinction) from the Anglia Ruskin University, United Kingdom. He obtained training from Citibank Asia Pacific Banking Institute in Singapore in 1995. He is a certified Chartered Banker.

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