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Auditing and Governance Risk and Compliance · AGRC-033
Auditing Banks and Financial Institutions
Banks and financial institutions face complex risks including credit, market, liquidity, operational, conduct and financial crime risk, all under intensive regulation…
- Duration5 days
- Next date18 - 22 Jan 2027
- Cities7 cities
- Fee from£2,850
Course overview
Why Attend
Banks and financial institutions face complex risks including credit, market, liquidity, operational, conduct and financial crime risk, all under intensive regulation. Auditors need specialist knowledge to provide meaningful assurance.
This LLMI course covers the banking business model and regulatory framework, auditing credit processes and provisions, treasury and market risk, liquidity, operational risk, AML and compliance, IT and cyber controls, and regulatory reporting. Participants develop audit approaches for key banking areas.
The course suits internal auditors and risk professionals in financial services.
Course Objectives
Understand banking risks and regulatory frameworks
Audit credit granting, monitoring and provisions
Audit treasury, market and liquidity risk
Audit operational risk and compliance functions
Audit financial crime controls
Review regulatory reporting and IT controls
Target Audience
Internal auditors in banks
Risk and compliance professionals
External auditors serving banks
Regulators and supervisors
Audit managers
Finance professionals in banking
Course Methodology
Banking risk presentations
Case studies
Audit programme workshops
Regulatory discussion
Group exercises
Course outline
-
1Day 1: Banking Risk Landscape
- Banking business model
- Regulatory framework
- Key risk types
- Supervisory expectations
- Role of internal audit
- Exercise: Bank audit universe
-
2Day 2: Credit Risk Audit
- Credit granting
- Monitoring
- Problem loans
- Expected credit loss
- Collateral
- Workshop: Credit file review
-
3Day 3: Treasury, Market and Liquidity
- Trading and treasury
- Market risk limits
- Liquidity metrics
- Funding
- Valuation
- Case study: Liquidity stress
-
4Day 4: Operational Risk and Compliance
- Operational risk frameworks
- Conduct risk
- AML controls
- Sanctions
- Outsourcing
- Exercise: AML audit programme
-
5Day 5: IT and Regulatory Reporting
- Core banking systems
- Cyber risk
- Data quality
- Regulatory reports
- Findings
- Capstone: Bank audit plan
Dates and fees
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