transcript   Transcript

Foundational Compliance & Risk Management Elements in Financial Services

Recorded on: Nov. 15, 2016
Running Time: 01:01:21

Full Transcript:

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Taken from the Web Program Financial Services Industry Regulatory Compliance & Ethics Forum 2016 recorded November, 2016 in New York.

Foundational Compliance & Risk Management Elements in Financial Services [01:01:21]
  • The Three Lines of Defense Model
  • Risk and Control Self Assessments
  • Key Risk Indicators and Key Performance Indicators
  • Incident Management and Operational Risk Event Reporting
  • Reporting to and challenges by Executive Management and the Board
  • Compliance risk assessments
  • Creating and maintaining a legal/regulatory inventory
  • Testing practices
(CFE Field of Study: Fraud)
Robert Gockley, Scott M. Kirwin, Ellen McCarthy

The purchase price of this segment includes the following article from the Course Handbook available online:

  • Beginning with the End in Mind: Planning for a Purpose-Built, Cost-Effective Risk Assessment, Chapter 35 from Corporate Law and Practice, a PLI Treatise
    Scott Killingsworth, Clifford E. Kirsch

Presentation Material

  • Enterprise Risk Management
    Robert Gockley, Ellen McCarthy
  • Risk Management Approaches and Assessment for Asset Managers
    Scott M. Kirwin
Robert Gockley ~ Director of Risk Management, American Stock Transfer & Trust Company, LLC
Scott M Kirwin ~ Vice President & Associate General Counsel, Fidelity Investments
Ellen McCarthy ~ Executive Vice President, Risk and Compliance, American Stock Transfer & Trust Company, LLC
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