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CISI Managing Operational Risk in Financial Institutions
- Χρηματοοικ. Ασφαλιστικά Τραπεζικά - Λογιστικά/ Έλεγχος/ Φορολογικά
Αγγλικά
18 ώρες
(
5 μέρες
)
ΠΕΡΙΓΡΑΦΗ
This course provides a comprehensive and practical understanding of operational risk management within financial institutions, focusing on the environments in which risks arise, and the frameworks used to manage them.
Participants will explore governance structures, risk identification and assessment methodologies, incident management processes, and regulatory expectations, including Basel standards. Through real-life examples and practical tools, the course equips professionals with the skills required to effectively identify, assess, mitigate, monitor, and report operational risks while strengthening organisational resilience and supporting sound risk governance.
This learning manual relates to syllabus version 6.0 and will cover examinations from 11 November 2025 to 10 November 2026.
Why Choose the CISI Managing Operational Risk in Financial Institutions?
Specialist qualification – covers all key aspects of compliance and can be taken as a stand-alone qualification or as part of the Investment Operations Certificate (IOC)
Globally portable – addresses international issues and best practice techniques
Free CISI Student membership – become associated with a Chartered professional body and take advantage of an extensive range of benefits
Access to Associate membership and ACSI designatory letters
ΣΚΟΠΟΣ ΣΕΜΙΝΑΡΙΟΥ
By the end of the programme, participants will have an international understanding of:
Explain the concept, scope, and key drivers of operational risk in financial institutions, including its relationship to broader enterprise risk management (ERM).
Identify and distinguish key sources and types of operational risk events, including people, processes, systems, external events, fraud, system failures, and conduct risk.
Describe key regulatory frameworks and expectations governing operational risk (e.g. Basel framework) and explain their relevance to financial institutions.
Explain the structure and purpose of operational risk governance models, including the Three Lines framework, and clarify related roles and responsibilities.
Explain the importance of operational resilience and its role in strengthening risk management frameworks.
Apply operational risk tools and methodologies, including Risk and Control Self-Assessments (RCSAs), Key Risk Indicators (KRIs), and scenario analysis.
Conduct basic operational risk assessments, including identifying, analysing, and documenting risks in line with organisational and regulatory expectations.
Rank and evaluate risks based on likelihood and impact using established risk assessment frameworks.
Develop and interpret risk assessment outputs, including scenario analysis results and incident investigation findings.
Organise and prepare operational risk documentation, reporting, and records to support monitoring and compliance requirements.
Evaluate and select appropriate risk mitigation and control strategies in line with organisational risk appetite.
Justify and defend risk treatment decisions, including the effectiveness of internal controls during reviews or audits.
Correlate operational risk findings with other risk categories within the broader ERM framework to support informed decision-making.
ΣΕ ΠΟΙΟΥΣ ΑΠΕΥΘΥΝΕΤΑΙ
The programme is suitable for:
Risk Managers
Directors
CCOs
Head / Deputy Heads
Senior Managers
Regulatory compliance officers
AML / KYC Officers
Chief legal officers
Legal advisors
Internal auditors
ΠΕΡΙΣΣΟΤΕΡΕΣ ΠΛΗΡΟΦΟΡΙΕΣ
Training Outline
The Operating Environment
Definition and scope of operational risk
Internal and external drivers of operational risk
Industry trends and emerging vulnerabilities
Digital transformation and technology risk
Third-party and outsourcing risks
Operational resilience concepts
Organisational Considerations
Governance structure and the “Three Lines” model
Roles and responsibilities across the institution
Risk culture and behaviour
Communication and escalation pathways
Integration with enterprise risk management (ERM)
Skills, competencies, and staffing considerations
Operational Risk Management
Overview of operational risk frameworks
Risk identification techniques
Risk and control self-assessment (RCSA)
Key Risk Indicators (KRIs)
Scenario analysis and stress testing
Control design and effectiveness evaluation
Approaches for risk mitigation and acceptance
Risk Management Process
Risk identification → assessment → mitigation → monitoring → reporting
Tools and methodologies for assessment
Workflow and governance of the risk cycle
Documentation, evidence, and audit expectations
Integration with strategy, change management, and product development
Operational Risk Incidents
What constitutes an operational risk event
Incident detection, capture, and classification
Root cause analysis and lessons learned
Loss data collection and reporting
Near misses and their value
Case studies: fraud, IT failures, conduct breaches, third-party failures
Regulation of Operational Risk
Basel II/III/IV requirements and capital frameworks
Supervisory expectations (e.g., OCC, PRA, ECB)
Operational Resilience regulations
Requirements for reporting, governance, and documentation
The shift to the Standardised Measurement Approach (SMA)
Emerging regulatory themes (cyber risk, third-party oversight, resilience testing)
Training Style
The programme is delivered through a highly interactive and practical approach that combines theory with real-world application. Participants are encouraged to actively engage throughout the course through discussions, case studies and practical exercises. Teaching Techniques include:
Instructor presentations
Interactive discussions
Practical case studies
Scenario analysis
Regulatory examples
Knowledge quizzes
Questions and answers
Continuous feedback
Participants will also have access to 40 online revision questions with answers, which can be ideal for candidates pursuing the respective exam.
CPD Recognition
This programme may be approved for up to 18 CPD units in Law. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.
Πληροφορίες Εκπαιδευτή
Παναγιώτης Αντωνίου - Risk Management - Compliance
Αναλυτικό Κόστος Σεμιναρίου
Για Δικαιούχους ΑνΑΔ
- € 1025.00
- € 360.00
- € 0.00
- € 665.00
- € 665.00
Για μη-Δικαιούχους ΑνΑΔ
- € 1025.00
- € 0.00
- € 194.75
- € 1025.00
- € 1,219.75
Κοστολογικές Πληροφορίες
The cost Includes the examination
ΠΡΟΓΡΑΜΜΑ ΣΕΜΙΝΑΡΙΟΥ
Τρίτη - 01 Δεκ 2026
Ώρα
15:30 - 19:30
ΕΚΠΑΙΔΕΥΤΗΣ:
Παναγιώτης ΑντωνίουΤοποθεσία:
OnLine Virtual Classroom
Πέμπτη - 03 Δεκ 2026
Ώρα
15:30 - 19:30
ΕΚΠΑΙΔΕΥΤΗΣ:
Παναγιώτης ΑντωνίουΤοποθεσία:
OnLine Virtual Classroom
Τετάρτη - 09 Δεκ 2026
Ώρα
15:30 - 19:30
ΕΚΠΑΙΔΕΥΤΗΣ:
Παναγιώτης ΑντωνίουΤοποθεσία:
OnLine Virtual Classroom
Παρασκευή - 11 Δεκ 2026
Ώρα
15:30 - 19:30
ΕΚΠΑΙΔΕΥΤΗΣ:
Παναγιώτης ΑντωνίουΤοποθεσία:
OnLine Virtual Classroom
Δευτέρα - 14 Δεκ 2026
Ώρα
15:30 - 18:45
ΕΚΠΑΙΔΕΥΤΗΣ:
Παναγιώτης ΑντωνίουΤοποθεσία:
OnLine Virtual Classroom
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Conflict of Interest (COI)...
Conflict of Interest Course (FCA) This course provides staff with an understanding of Conflict of Interest, the laws and regulations that make it illegal, and t...
31/01/2027 18:24
Αγγλικά
eLearning
European Investment Funds: a Comprehensive Guide to UCITS, AIFs, Struc...
This course provides a comprehensive overview of European investment funds, focusing on their structure, regulation, and emerging trends. Participants will gain...
31/01/2027 18:24
Αγγλικά
eLearning
EBA Guidelines on ICT and Security Risk Management...
The aim of this course is to equip professionals in CySEC regulated investment firms with a thorough understanding of the European Banking Authority (EBA) Guide...
31/01/2027 18:24
Αγγλικά
eLearning
Suspicious Transactions/Activity Reporting...
This course provides a brief overview of Suspicious Transactions / Activity Reporting process in a regulated financial services firm. This course is addressed t...
31/01/2027 18:24
Αγγλικά
eLearning
ICAAP – Internal Capital Adequacy Assessment Process...
The challenge with creating an ICAAP is it is more than just a document. In this course we will explain clearly and concisely why it is and should be dynamic pr...
31/01/2027 18:24
Αγγλικά
eLearning
AML for ICPAC and CBA Professionals Mock Exams...
A set of 3 full Mock & Revision Exams in English for the Compliance Officer Certification in AML for ICPAC and CBA Professionals Exam...
31/01/2027 18:24
Αγγλικά
eLearning
AML Regulatory Compliance Updates (Cyprus)...
In an era of rapidly evolving financial crime tactics and tightening global regulations, staying ahead of Anti-Money Laundering (AML) requirements is not just a...
31/01/2027 18:24
Αγγλικά
eLearning
Budgets and Financial Reports...
Money matters can be intimidating for even the smartest people. However, having a solid understanding of basic financial terms and methods is crucial to yo...
31/01/2027 18:24
Αγγλικά
eLearning
Understanding Securities Financing Transaction Regulation – SFTR...
SFTR is a major regulatory reporting requirement for anyone transacting repo and other securities financing transactions in the EU, no matter how limited their ...
31/01/2027 18:24
Αγγλικά
eLearning
Prospectus and Transparency...
This course on the Prospectus Regulation is designed to provide learners with a comprehensive understanding of the regulatory framework governing the preparatio...
31/01/2027 18:24
Αγγλικά
eLearning
AML Risk Assessment...
Description Risk assessment enables financial institutions to focus on their AML/CFT efforts and adopt appropriate measures to allocate the necessary resources ...
31/01/2027 18:24
Αγγλικά
eLearning
FCA – The Role and Approach...
This course seeks to explain the role the FCA plays in the financial services sector and its position within the overall UK economy. We look at the structure of...
31/01/2027 18:24
Αγγλικά
eLearning