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Description

Internal Control in Banking: Mapping, Testing and Managing Risk

Build a permanent control framework that stands up to regulatory inspection and remains useful to the business

  • 2 days — 14 h
  • In-person or virtual
  • Expert
  • Up to 6 participants

In a banking institution, control arrangements tend to pile up as regulatory expectations evolve. First-line controls are formalised but poorly evidenced. The second line spends its time reconstructing evidence rather than analysing incidents. Remediation plans accumulate while residual risk stays where it was.

These two days are designed for practitioners already in post. Participants revisit how the lines of defence interact, then build an operational risk map fed by incident collection. They define proportionate controls and a remediation follow-up process that withstands external review.

Learning objectives

  • Clarify the roles of each line of defence across a single banking process
  • Build an operational risk map based on key processes
  • Define first and second line controls proportionate to the risks at stake
  • Use incident collection to adjust the control plan
  • Steer remediation plans through to an effective reduction of residual risk

What makes this programme different

A risk map built on a complete end-to-end banking process
Control sheets drafted and then tested against real incidents
An evidence file assembled as it would be presented to an external review

Programme

1Architecture of the Control Framework

Positioning each actor on the same process

  • Division between permanent control and periodic control
  • Role of business lines in the first line of defence
  • Positioning of the compliance and risk functions
  • Escalation routes to executive and governing bodies

2Operational Risk Mapping

Moving from process to rated risk

  • Process breakdown and identification of failure points
  • Rating of likelihood and impact
  • Taking existing control arrangements into account
  • Determining residual risk and attention thresholds

3Control Plan and Evidence

Testing what matters and evidencing it

  • Choosing between exhaustive testing and sample-based testing
  • Drafting a control sheet a business user can actually apply
  • Building and retaining evidence
  • Handling detected anomalies and escalation

4Incidents and Remediation

Reducing risk and demonstrating it

  • Collection and classification of operational incidents
  • Root cause analysis beyond individual error
  • Building a remediation plan with an owner and a deadline
  • Tracking audit recommendations and evidencing closure

Who is it for

Heads and officers of permanent control, together with risk managers and internal auditors in banks and financial institutions.

Prerequisites

Hold a risk, compliance control or audit role within a bank or financial institution.

Dates & locations

36 scheduled dates between November 2026 and December 2027. Seats are confirmed in the order enquiries are received.

November 2026

December 2026

January 2027

February 2027

March 2027

April 2027

May 2027

June 2027

September 2027

October 2027

November 2027

December 2027

None of these dates suit you? We open additional sessions on request, and any programme can be run privately for your team.

Practical details

Before the programme
Online positioning questionnaire. Your development objectives are shared with the trainer, who tailors the practical case studies to your context.
Teaching methods
Theoretical input, workshops and practical case studies. Digital course materials and method sheets provided.
Assessment
Multiple-choice tests and role-play exercises. Assessment of learning at the start and end of the programme, with immediate and 60-day follow-up evaluations.
After the programme
One year of access to the e-learning platform. Self-assessment of the skills acquired and a 30-day follow-up session with your trainer.
How to register
Registration online or on the basis of a quotation.
Lead time
11 working days after confirmation of registration.
Accessibility
Accessible to people of determination. Contact our accessibility coordinator to design a suitable solution: contact@mpf-academy.ae
Start dates
Rolling intake: in addition to the scheduled sessions, this programme can start on request.