Business Issue
The client, a company focusing on global execution services for institutional investors, sought assistance in developing a Risk Management Framework that was both practical and sustainable. They engaged fscom to help design and implement a framework they could oversee and maintain independently, ensuring robust risk governance.
Solution
fscom conducted a review of existing risk management documentation, facilitated stakeholder workshops to identify key risks, and developed a suite of tailored documents, including a Risk Management Policy, Risk Appetite Statement, Whole Firm Risk Assessment Register, Customer Risk Assessment, and Compliance Monitoring Plan. Training was also provided to ensure effective ongoing management of the framework.
5 Documents
developed, including Risk Policy and Compliance Plan.
Multiple Workshops
held to identify key risks.
Team Members Trained
on framework management.
Benefits
The project delivered a structured and comprehensive Risk Management Framework, enhancing the client's ability to identify, assess, and mitigate risks effectively. Stakeholder engagement ensured alignment, while training empowered the team to maintain and evolve the framework independently.
Client
Feedback
The client appreciated fscom's collaborative approach, clear guidance, and tailored solutions. The project not only provided a solid foundation for risk management but also ensured the team had the knowledge and tools to manage risks proactively and confidently.
