Corporate Training Ideas - Risk Management and Compliance

The following training options are appropriate for Banks, NBFC and small banks.

• Basic fundamentals of Risk Management (half day)
o Including Fraud, Reputational Risk issues also apart from credit, market and operational risk
o Cases relating to fraud and governance issues

•Credit Risk Management (1-2 day) :
o May include aspects like credit appraisal process for corporate, retain finance, financial services borrower company etc.
o Credit policy, credit authorisation matrix, mechanism procedures for approvals, follow-on payments etc
o Review and monitoring on regular basis
o Expected and Unexpected Credit Loss
o Triggers and early warning signals, off balance-sheet items etc.

• Market Risk Management (1 day) :
o Fixed income portfolio, Derivatives, equity and currency exposures
o VaR, Stress Test, Capital Adequacy requirements

• Operational Risk Management / ERM (1-2 days) :
o Risk Register, Risk Assessment, Risk Mitigation plans
o KRI, Incident Reporting
o Root Cause Analysis, Scenario Analysis
o Reputational risk, fraud, ESG risk, project risk, vendor risk, compliance risk etc

• Data Privacy (focused on GDPR) (1-2 hours training per session) including creating awareness on data privacy for all the employees
• Cyber Security related training (2-3 hours training per session) including creating awareness for all the employees
• Vendor Risk management / outsourcing or 3rd party risk management (1-2 hours)
• Prevention of Insider Trading Regulation (2 hours) (for listed bank – to check whether this is listed ? ). Its multiple sessions to cover all the designated employees who have access to inside information
• KYC / AML / PMLA training (1 full day or half day)
o This fill include also the aspects of digital KYC, Adhar based KYC, e-KYC, Wallete, blockchain, use of AI & ML apart from regular training on provisions of PMLA Act
• Training of independent directors / nominee directors on the Board of bank or of borrower company

More Info