Banking and Risk Management Consultants
Bank Consulting in Entity Level Controls
Risk Management Consulting in Audit Committee Governance
Bank Consulting in Internal Audit Assessments
Risk Management Consulting in Credit & Market Risk Management
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Risk Management Consulting in Technology Controls
Bank Consulting in Accounting Process Controls
Risk Management Consulting in Specialized Services

 

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Bank Consulting in Entity Level Controls
Entity Level Controls
Entity Level Control Assessments are conducted by RLC to provide the Audit Committee and Executive Management an understanding of the adequacy of the control infrastructure.

A comprehensive review of the Design of controls systems is performed. Board and Management reports and metrics are then analyzed to provide an understanding of Execution of control measures.

The engagement is a top down approach to identify major control gaps and suggest corrective actions based on the company’s operating activities.  Responsibilities and authorities, objectives, and reporting related to major programs are evaluated.  The potential impact of layered risks based upon these evaluations is then determined.

 
Warning Signs

Lack of Understanding of Layered Risks

Inadequate Risk and Control Identification

Unclear Roles and Accountabilities

Insufficient Risk Reporting Transparency

Unbalanced Compensation Programs

Poor Risk Management Framework Design

Lack of Independence of Functions

 

 

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