Risk Control and Self-Assessment


Explains the risk and control self assessment (RCSA) process and its role in a bank’s risk culture. Convers establishing the primary objectives of the RCSA process, identifying risks and appropriate control environment, determining relative priorities, and the overall purpose and benefits of an RCSA.


  • Define operational risk, identify control frameworks, and describe the purpose and benefits of conducting a risk and control self-assessment (RCSA)
  • Identify considerations for effective implementation of the RCSA
  • Describe approaches for assessing and prioritizing risks
  • Describe methods for managing and controlling risks
  • Identify techniques and resources to gather data, perform the RCSA, and monitor and report results

Audience:  Risk and internal audit professionals; third-party service providers and state/federal examiners; first-line risk and operations managers with responsibilities for operational risk management, including implementing, managing, monitoring, reporting, auditing and/or supporting an effective operational risk management program, policies and procedures.

Related Training: ABA Certificate in Operational Risk Management

ABA Certifications: 1.25 CRCM, CSOP

Your Instructor: Bill Tucker, CIA, CRCM
Director of Compliance and Operational Risk, State Bank and Trust

Prior to State Bank, Bill spent much of his banking career with the mega banks, helping redesign corporate ERM governance, operational, compliance, and liquidity risk management processes at Bank of America, and 17 years with Wachovia/First Union, in various first-line and second-line risk management roles.

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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Non-Member $375

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