11e. ALL – Identifying Critical Risks and Assessing Your Risk Matrix (Intermediate)

The process of mitigating risk begins with identifying the risks within your firm and is a necessary element in developing and maintaining a strong compliance program. In this session, attendees will hear about the practical aspects of creating a meaningful and usable risk assessment and the benefits that such an assessment can provide to their compliance program.

Learning Objectives:

  • Understand the importance of identifying all critical risks to your firm, including the not so obvious risks, and periodically reassessing your firm’s risks and risk tolerance
  • Implement a risk scale to assist with identifying and prioritizing the most severe risks that your firm faces
  • Identify ways to use your matrix to increase visibility of risks, assist management decision and allocate your firm’s resources
  • Discuss best practices in communicating with management and regulators about your risk matrix


Sponsored by:

Intermediate                        Program Level: Date: October 21, 2020 Time: 2:00 pm - 3:15 pm Louis Dempsey Trish Flynn

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(860) 672-0843 info@nscp.org