CISI Operational Risk

Risk Management

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Operational Risk is one of 15 technical units available as part of the Investment Operations Certificate (IOC) which has more than 12,000 exams taken annually worldwide.  The unit offers an introduction to the nature of operational risk, its causes, consequences and impact and the arising of operational risk in the trade cycle and other major risks.


This unit is aimed at operations and administration staff who need knowledge of Operational Risk and how it relates to their job role.

There are no specific entry requirements.

Step 1:  Fill in the registration form (intake currently closed)

Step 2:  Fill in and send by email to [email protected]

Step 3:  Effect payment

Step 4:  Upon receipt of payment registration is processed

  • The Causes, consequences and Impact of Operational
    Risk

    • The root causes and consequences of operational
      risk events
    • The impact of operational risk
    • Near miss identification and reporting
  • Operational Risk Arising in the Trade Cycle
    • Set-up
    • Execution
    • Pre-settlement phase
    • Settlement phase
    • Post-settlement phase
  • The Support and Control Functions
    • The independent risk function
    • The Middle/Back office functions
    • The compliance function
    • The financial and regulatory reporting function
    • The HR, legal, IT and internal audit functions
    • The product development and marketing function
    • The project management and change management function
  •   Operational Risk in the Regulatory Environment
    •  Achieving common standards and protection
    • Regulatory capital requirements

Title: CISI Operational Risk Fee
One time CISI Registration fee: €85
Registration and certification €350
Resit €195

 


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