Risk Policies, Procedures and Limits


Describes statutory requirements for risk policies, procedures and limits, as well as the governance structure of a bank, criteria to evaluate internal controls, reviewing risk assessment findings and communicating limits. Explains exceptions and practices for developing and maintaining risk policies, as well as the relationship between risk appetite and limits, and between limits and business objectives.
  • Describe the importance of risk policies, procedures, and limits within a bank's ERM process
  • Identify a typical bank's governance structure and the internal controls used to manage risk and achieve bank objectives
  • Describe leading practices for developing risk policies, procedures and limits
  • Describe leading practices for enforcing and maintaining risk policies, procedures and limits

Audience:  Risk management and control professionals in the first, second or third line functions with primary responsibilities including risk assessment, risk testing, measurement and monitoring, risk reporting, audit, or governance across credit risk, financial and/or non-financial risk categories. Directors, members of senior management, State/Federal bank examiners, external risk consultants or auditors.
Related Training: This course applies to the Certificate in Risk Management Frameworks .

ABA Professional Certifications:
1.0 CERP

The New York Bankers Association is a Local ABA Training Provider.

NYBA Professional Development at (212) 297-1679 or education@nyba.com.
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