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aSource Global Limited

Discover essential strategies for managing operational risk in the financial sector. This summary highlights the roles of key executives such as the CEO, COO, and Chief Risk Officer, along with necessary actions for effective change management and culture implementation. Emphasizing shareholder value and understanding external stakeholders, the document outlines actionable steps including the KYC Culture Review and a focus on quality experience transitioning to business-as-usual operations. A valuable resource for executives aiming to enhance governance and operational integrity.

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aSource Global Limited

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  1. aSource Global Limited Global Services Delivered Locally Product Development & the C-suite Confidential 16th May 2013

  2. Summary Operational Risk • CEO • COO • Chair • Head of Compliance • Head of Risk • Board • FD • CFO • NED’s • CRO • CIO • CTO • CMO Articulate value proposition and evidence sales message 1 Conduct Risk Section 166 Culture Review KYC Emphasis on shareholder value 2 Understand external stakeholder stance (Regulator/Rating agency) 3 Focus on quality & experience and getting them to BAU 4 Internal culture implementation 5 Change/Programme Management wrapper

  3. Summary Operational Risk • Leader/Shaper/Figurehead • Visionary / Value adder • Infrastructure / Operations • Cost / Strategist • Risk Manager / Control • Administrator/Coordinator/Doer • Sales / Marketer • Resourcer Articulate value proposition and evidence sales message 1 Conduct Risk Section 166 Culture Review KYC Emphasis on shareholder value 2 Understand external stakeholder stance (Regulator/Rating agency) 3 Focus on quality & experience and getting them to BAU 4 Internal culture implementation 5 Change/Programme Management wrapper

  4. Product Focus • Solvency II / IFRS 4 phase II • Basel III • Op Risk • Compliance and Conduct Risk • Project management • Change • IT projects • Campaigns • M&A

  5. Service Line • Solvency II • Basel II/III • Collateral Management • Investment/Wealth Management • Change Management • Portfolio Programme Management • Supporting IT Services • Supporting Resource Management • 166 Remediation • FSA Authorisation • Board Review • KYC/AML • FACTCA • RDR • Operational Risk • Actuarial Risk

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