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"Developing strong risk assessments for all key areas of a financial institution is crucial. Strategic-minded institutions aim to manage risk at an enterprise-wide level, striving for “optimal risk-taking,” where they incur just enough of the right kind of risk to effectively pursue their strategic goals. This webinar will guide you through the characteristics of strong risk assessments, helping you develop an enterprise-wide process that is practical, sustainable, and easy to understand. You will gain practical tools and examples to implement immediately, strengthening your existing risk assessments and creating new ones as needed.

The webinar covers an overall view of Enterprise Risk Management (ERM) and its key components, the three key phases of ERM, and how risk assessments fit in. It will delve into the risk assessment process, the characteristics of strong risk assessments, and the relationship between the Risk Assessment System (RAS) and CAMELS rating. You will learn about the top eight risks, how to conduct an ERM risk assessment using a matrix, and the various types of risk assessments based on the area of risk. Additionally, the webinar will provide examples of ongoing monitoring and reporting tools, helping you understand the goals and characteristics of risk assessments based on industry best practices.

 

Topics Covered:

Comprehensive Overview of Enterprise Risk Management (ERM) and Its Essential Elements

Unveiling the Three Key Phases of ERM and the Role of Risk Assessments

Enhancing Your Risk Assessments: A Step-by-Step Process

Defining the Purpose of Risk Assessments for Strategic Success

Key Traits of Effective Risk Assessments

Understanding the Risk Assessment System (RAS) and Its Link to CAMELS Rating

Identifying the Top Eight Risks and Other Critical Risk Categories

Mastering ERM Risk Assessments with a Matrix: The Foundational Risk Assessment

Exploring Various Types of Risk Assessments Tailored to Specific Risk Areas

Showcasing Examples of Continuous Monitoring and Reporting Tools

 

Key Learning Objectives:

Gain a high-level overview of ERM and its three dynamic phases.

Understand the risk assessment process to strengthen existing risk assessments.

Identify and assess risks across your entire institution.

Discover the key traits and goals of industry-leading risk assessments.

Craft appropriate risk assessment criteria for your organization.

Embrace the Power of Annual Risk Assessments Recommended for Continuous Improvement

Study real-world examples through monitoring and reporting tools.

 

Duration: 90-minutes

This webinar is designed specifically for individuals who have little or no previous training in financial institution investigations. If you have been the security officer for less than three years or are newly assigned to the duties of the security area, this is the program for you.

Join us and learn how to outline the basic steps for external investigations and discuss who should be assigned that duty. Attendees learn the importance of active listening, remaining objective, documentation, evidence collection, and how to identify the resources you need to assist with the investigation.

Learning Objectives:

• Describe the basic role and responsibilities involved in financial institution investigations.
• Identify the basic steps in conducting an external investigation and determine who should be assigned investigative duties.
• Demonstrate the importance of active listening and remaining objective during an investigation.
• Explain proper documentation and basic evidence collection techniques.
• Identify resources that can support an investigation.

Duration: 90-minutes

Presented live and recorded 08/25/26.

Due diligence expectations vary based on customer risk and continue to evolve. This seminar provides a practical overview of Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD) best practices for high-risk customers, with a specific focus on nonresident alien and foreign individual accounts. Participants will learn key risk indicators, documentation expectations, and examination considerations when managing these relationships.

Learning Objectives:

• Understand regulatory expectations and best practices for conducting CDD and EDD for high-risk, nonresident alien, and foreign individual customers.
• Identify key risk indicators and documentation requirements specific to nonresident alien and foreign individual accounts.
• Apply a risk‑based approach to account onboarding, monitoring, and periodic reviews to better manage compliance and examination risk.

Internal fraud is often an unspoken issue within financial institutions. Some organizations avoid discussing embezzlement because they worry that talking about it will draw attention to the issue — or even inspire wrongdoing — so they stay silent, hoping that will prevent awareness. However, as owners and managers, we face a choice: proactively manage this risk or ignore it—until it's too late.

Learning Objectives:

• Define internal fraud and explain why it is often overlooked within financial institutions.
• Identify common warning signs and red flags associated with embezzlement and internal fraud.
• Understand the risks of ignoring internal fraud and the impact it can have on the organization.
• Recognize the importance of proactively managing internal fraud.

Duration: 90-minutes

Presented live and recorded on 08/27/26.