🎓 Open to All Graduates & Finance Students · FREE First Workshop for Every College · Individual Students Also Welcome
Operational Risk
Management in
Investment Banks
Learn how global investment banks identify, monitor, and manage operational risks arising from failed processes, system failures, human errors, and external events — and the control frameworks that keep those risks in check every day.
About
What This Workshop Covers
This workshop explains how investment banks identify, monitor, and manage operational risks arising from failed processes, system issues, human errors, and external events. Participants learn the risk and control frameworks followed by global banks — from the three lines of defence model and key risk indicators through to incident management, business continuity planning, and regulatory capital requirements under Basel III/IV. Operational risk roles are present across every team in an investment bank, making this knowledge relevant regardless of which department a candidate targets.
Topics
Fundamentals Covered
Introduction to Operational Risk
Definition of operational risk (Basel II/III), why it is distinct from market and credit risk, its growing importance post-2008, and why every banking role carries operational risk responsibility.
Types of Operational Risks
The seven Basel event-type categories — internal fraud, external fraud, employment practices, clients & products, damage to physical assets, system failures, and execution/delivery/process management.
Risk & Control Framework
Three lines of defence model, RCSA methodology, risk appetite statements, control libraries, and how the operational risk function works alongside business lines and internal audit.
Incident Management
Incident identification triggers, loss event capture into operational risk databases (e.g. Archer, MetricStream), severity classification, root cause analysis, and near-miss reporting.
Key Risk Indicators
Designing effective KRIs — lead vs lag indicators, threshold setting, amber/red breach protocols, KRI ownership, and how KRI dashboards feed into operational risk management reporting.
Risk Assessment Techniques
Qualitative and quantitative risk assessment — risk heat maps, scenario analysis, stress testing, probability vs impact matrices, and how assessments feed into capital modelling.
Internal Controls & Governance
Control design principles — preventive, detective, corrective — segregation of duties, maker-checker, dual authorisation, control testing frequency, and governance committee structures.
Audit & Compliance Basics
Role of internal audit in testing controls, how compliance teams monitor adherence to policies and regulations, audit findings lifecycle, and management action plans (MAPs).
Business Continuity Planning
BCP vs DR — business impact analysis, recovery time objectives (RTO), recovery point objectives (RPO), crisis management teams, tabletop exercises, and pandemic/remote working scenarios.
Regulatory Expectations
Basel III/IV Standardised Approach for operational risk capital, RBI guidelines on operational risk for Indian banks, SEBI expectations, supervisory review (SREP), and regulator-facing reporting.
Outcomes
Skills Developed
- Risk identification ability — spotting operational risk exposures across processes, systems, and human factors
- Control monitoring understanding — assessing whether controls are designed and operating effectively
- Incident analysis skills — root cause investigation, loss event documentation, and remediation planning
- Governance awareness — understanding how risk committees, audit, and compliance interact in a global bank
- Operational risk reporting knowledge — KRI dashboards, incident reports, and regulatory submissions
First workshop is FREE for every college. Individual students are also welcome to register and attend at no cost for the first session.
Career Opportunities
Roles You Can Target
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