Introduction to TransWorld Consultancy Services Inc Ronald M. Hawes Founder Director TransWorld Consultancy Services Inc Manage the Risk - Reap the Reward

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Ronald M. Hawes

Founder Director TransWorld Consultancy Services Inc

Manage the Risk - Reap the Reward Ignore the Risk - Accept the Consequence

Staff Training and DevelopmentModules – for 2011

November 2010 · page 2

INDEX

Welcome to TransWorld Consultancy Services. 3

Introduction to Management and Staff Training and Development Modules for 2011. 5

Business Management Quality and Skills. 6 Fraud Prevention. 8

Corporate Corruption. 9 Anti-Money Laundering. 10

Business Continuity Management Planning. 11

Corporate Governance. 12

Outsourcing/Alliance Arrangements. 13

Project Management Governance. 14

Leadership by Innovation. 15

Diversity. 16

Performance Management/Objective Setting. 17

Key Performance and Key Risk Indicators. 18

Operational Risk Management for Non-Financial Institutions.19

Operational Risk Management for Financial Institutions. 21

Basel II and Basel III Implementation for Banks. 23

Contact Details. 26


Welcome to TransWorld Consultancy Services Inc

However, before detailing the training modules, I request that you allow me to briefly introduce myself and explain the range of services that TransWorld Consultancy Services (TWCS) offers over and above training and development.

First some background, regarding myself, I am Ronald Hawes – Founder Director TransWorld Consultancy Services Inc. I have more than 40 years experience in various aspects of Business Management. I retired from a major international bank in 2007 where I was a Global Operations Risk Manager covering various operational functions/processes, totaling some 80 plus operating units in some 35 different countries. Prior to this role I had undertaken numerous different operational assignments, both in day to day operational departmental /divisional management and in significant project management roles involving operational reengineering, including cross border outsourcing. In addition I have lectured globally on various business topics, and run master classes in various countries on a broad selection of business topics. Since retiring from direct employment within the banking industry, I have set up my own consultancy company, TransWorld Consultancy Services Inc. I hold a Masters Degree in Business Administration (MBA) from City of London University.

Now a brief outline of the other services over and above management and staff training and development that are available. TWCS offers to undertake short to medium term assignments on any of the subject matter detailed on the next page. TWCS provides a broad practitioners knowledge base and project implementation support related to any of these functions. Especially within the Financial Services Industry, but also within other Service Industries.

The purpose of this document is to detail in some depth the various Management and Staff Training and Development modules that are

available, to be provided as in-house training within your corporation.


Services Provided by TransWorld Consultancy Services Inc

Operational Risk Management

Staff Trainingand

Development

Fraud Prevention

In-sourcing/Outsourcing Project

Management Operational Re-engineering

TransWorld Consultancy Services Inc are available to undertake short to medium term assignments providing a broad practitioners knowledge

base and project implementation support related to any of the functions shown above. Especially within the Financial Services Industry,

but also within other Service Industries.

Corporate Governance

Anti-MoneyLaundering

Business Continuity

Management


Management and Staff Training and Development is essential, to get the best out of your people :- examples of training master classes/ workshops currently available are detailed on pages 6 to 25 of this document.

Each training module has an estimated assigned time duration period which can be increased or decreased dependent upon any specific needs for increased or decreased focus on the subject matter.

These training modules can be taken up as individual modules as shown, or alternatively the required modules can be “cherry picked“ as required and moulded into a complete continuous program of associated subject matter.

The master class/workshop methodology for each subject is a mixture of direct tutorial sessions plus interactive open discussion and review sessions. In addition case studies and practical examples of the facilitators own experiences are used to present the wide range of issues that confront your organisation today. In some training modules there are break out sessions involving role play analysis.

Training and Development Masterclasses/Workshops on other subject matter can be made available on request.

i.e. Specifically Designed The following are just an example of those currently available.

Management and Staff Training and Development Modules for 2011


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Business Management Quality and Skills

Strategy Development, Leadership Effectiveness, Team Building Facilitation,

Efficient Planning and Organising, plus Innovation

Encouragement.

Master Class/Workshop subject matter can be

adjusted/refocused and/or extended/reduced

if desired.

Examples of Available Management and Staff Training/Development Master Class/Workshop Modules

Available as a two day Training Master Class/

Workshop.

THIS MASTER CLASS/WORKSHOP TARGETS ALL MANAGERS AND STAFF WHO WISH TO ENHANCE THEIR LEADERSHIP SKILLS.

EACH DELEGATE WILL DURING THE MASTER CLASS/WORKSHOP SESSION HAVE THE OPTION TO DEVELOP THEIR OWN

ENHANCEMENT ACTION PLAN TO TAKE BACK TO THEIR ORGANISATION FOR IMPLEMENTATION CONSIDERATION.

FOR MASTER CLASS/WORKSHOP CONTENT SEE NEXT PAGE.


bbbbb

- Understanding what StrategicPlanning really entails

(Dealing with people, Identifying problems, Addressing the Challenges,

Acting as Agents of Change).- What is Mission - Defining

and Summarising.- What are Values - Act, Decisions,

Rewards, Environment.- Testing your Values.

- Development of Team Values.- What is Vision - Envisioning

the Future.- Bringing Mission, Vision and

Values Together.- Leading your team / Sharing Ideas,

ensuring Clarity and Focus,introducing Measurement Criteria.- Key Questions - What do we do,How do we do it, Why do we do it.

- Zero Based Thinking - Think from a neutral perspective,

check relevance of what we do.- Benchmarking - Compare with

other similar operations, formally and informally.

. - Brainstorming - Analysis of Processes and Improvement, Deliberate approach to foster

creativity and innovation.

Business Management Quality and Skills(Detailed Content)


- Work Process Design and Flowcharts.

- Understanding aspects and benefits of Motivation

(Not to command but to Inspireand Develop People).

- The Art of Teamwork (Creation of an Environment/Culture in

which Teamwork can Thrive).- Become a Facilitator - Create Trust and Respect, Encourage

Job Enrichment.- Bringing Motivation, Teamwork

and Development of People together.

- Understand the concept of and what is Performance Management

(How to get results through the management of others).- Identify how to define

Key Result Areas.- Design and Implementation of

Key Performance Indicators.- Design and Development of

Departmental Productivity Models to measure Volume Capacity.

- Facilitate Business ManagementSkills and Leadership Qualities with

aspects of Emotional Intelligence.


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- Why focus on aspects of Fraud.- Fraud Definitions.- Misstatements in Financial Statements.- Creating a Corporate Fraud Policy.- Policy Scope, Policy Objectives and Policy Principles.- The Enemy Within.- Warning Signs of a potential fraud environment.- Fraud Preventative Measures.- Development of a Corporate Anti-Fraud Culture.-The Risk Management Cycle to manage aspects of Fraud.- Responding to Fraud – Incidentreporting and escalation and investigation procedures.- Sample and Possible Workflows.

- The role of Internal Audit, Risk Management, Corporate Compliance.

- Discussion Group Session re Fraud Case Experiences.- Conclusion.

Setting and Managing a Fraud Prevention

Corporate Policy and Culture that acts as a Deterrent as well as establishing

sound Detection, Investigation and

Resolution Practices.



if desired.


Available as a one day Training Master Class/

Workshop.

This Master Class/Workshop is ideal for amalgamation with Corporate Coruption (page 9),

and Anti-Money Laundering(page 10), and Corporate

Governance (page 12).


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- Understanding Corporate Corruption An extension of Fraud?- Contributing Factors/Roots

of Corporate Corruption.- The Abuse of Power.- Conflicts of Interest.- Manipulation/Market Abuse.- Global Coalition against Corruption.- What's next in Global Regulation.- Foreign Corrupt Practices Act.- UK Bribery Act 2010.- Corporate Liability for failure to

prevent Bribery/Corporate Corruption. - Discussion Group Sessions re

known Corporate Corruption Cases.

Understanding Global Impact and Effective

Management to minimiseand protect against

Corporate Corruption.



if desired.


Available as a half day Training Master Class/

Workshop.

This Master Class/Workshop is ideal for amalgamation with

Fraud Prevention (page 8), and Anti-Money Laundering

(page 10), and Corporate Governance page 12).


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- Definition and Stages of Global Money Laundering. - Objectives and Minimum Standards.- Financial Actions Task Force

(FATF) Recommendations.- EU Third Directive, Regulation and Special Recommendations.- Compliance with Office of Foreign

Assets Control (OFAC) and EU Sanctions.- Know your Customer.

- Filtering Transactions.- Risk Assessment.- Detecting and Reporting Criminal

and Suspicious Activities.- AML/Embargo Project Management Tasks.- Variance of Anti-Money Laundering Standards by Country.- FATF Mutual Evaluations conducted for country/region.- Staff Training Requirements.- Discussion Session re Anti-Money

Laundering Cases of non-compliance.

Anti-Money Laundering – Regulation, Detection,

Transaction Excellence and Risk Assessment

a Global Issue.



if desired.



Workshop.


Fraud Prevention (page 8), and Corporate Corruption(page 9) and Corporate Governance (page 12).


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- Business Continuity and DisasterRecovery (DR) as components of

Business Continuity Management (BCM).- Principles for BCM.- Roles and Responsibilities.- Business Impact Analysis Process.- Business Impact Review Questionnaire.

- Use of Alternate Site.- BCM and DR Testing.

- Escalation and Crisis Management Process.

- Masterclass/Workshop incorporates a 90 minute Practical Exercise

supported by a 30 minute analysis of errors made.

Business Continuity Management Planning.



if desired.



Workshop.

This Master Class/Workshop is already incorporated, but only

in part, into the Operational Risk Management modules on pages

19 and 21 and Basel II/III for Banks module on page 23.


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- Corporate Governance Roles and Responsibilities associated with Fraud and Corporate Corruption. - Roles and Responsibilities to

ensure effective Corporate Governance throughout the Corporation.

- Business Ethics and Values.- Reputational Risk.- Managers must maintain their Legitimacy.

- Corporate Governance and Risk Management - Two Inseparable Imperatives.- Effective Audit Trails.- The challenge and benefits of IT Governance.

- Creating a Culture of Trust.- Attention to failure of any aspects of Corporate Governance.

- Best Practice.

Corporate Governance from good basic Principles to effective sound Practice.



if desired.



Workshop.


Fraud Prevention (page 8), and Corporate Corruption(page 9), and Anti-Money

Laundering (page10).


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-Introduction to Outsourcing/Alliance Arrangements.

- BPO (Business Process Outsourcing).- The 5C‘s Checklist.- Offshoring Work, not Jobs.

- Smartsourcing versus Outsourcing.

- Some Basic Rules for Successful

Outsourcing/Alliance Arrangements.

- Outsourcing Governance Structure.

- Suggested Outsourcing/Alliance Policy Structure.- Regulatory Requirements.

- Outsourcing Lifecycle Requirements.

- Business Case and Project Approval.- Business Case Risk Rating.

- Risk Assessment.- Due Diligence.-Outsourcing/Alliance Partner Selection.- Contract Negotiation.- Service Level Agreement.

- Key Performance Indicators.-Transition Phase.

- Service Delivery Management On-going Review Process.

- Suggested On-going Outsourcing/

Alliance Risk Assessment Guideline.- Case Study.- Conclusion.

Managing Outsourcing /Alliance Arrangements and the associated Risk

aspects in order to provide Effective Back Office

Solutions for Cost Reductions

and Higher Efficiency.



if desired.



Workshop.

This Master Class/Workshop is ideal for amalgamation with the Operational Risk Management modules on pages 19 and 21and the Basel II/III for Banks

module on page 23.


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- Planning Phase 2.-Technical Specifications and Designs,

Functional Specifications and System Flows, Gaps Analysis and

Solutions.

- Execution Phase.- Development, Quality Assurance

Test Plan, Baseline Testing, Security Reviews, Business

Continuity Testing, Issue Tracking, Training.

- System Testing.- Functional Testing, Regression

Testing, Integration Testing, End to End Testing, User

Acceptance Documentation, Pre and Post Implementation Reviews,

Lessons Learnt Review, Sponsor Sign-Off against original

Objectives, Goals and Benefits.

- Success Factors.- On-time Delivery.

- Within Budget Delivery.- High Quality Delivery.

Project Management Governance.

Master Class/Workshop subject matter can be adjusted /refocused

and/or extended/reduced if desired.



Workshop.

- Project Support Roles and Responsibilities.

- Project Governance Infrastructure.

- Project Initiation.- Strategic Compliance, Business

Requirements, Executive Summary. Project Objectives, Goals and Benefits.

- Planning Phase 1.- Define Scope and Interfaces to related

processes and/or systems, Full Draft Business Requirements,

Baseline Project Plan, Cost Feasibility.


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- The Importance and Challenge of Innovation.- How to encourage creative thinking.- Understanding the DNA of Innovative People.- Challenging the Status Quo.- Development of a Corporate Innovation Model.

- Motivate Change Ideas into Real Innovation.-The Impulse Phase.- Communication of the Innovation Model and Associated Benefits.- Provision of the Assessment

and Sponsorship Process.-The Evaluation Phase.- Implement Selected Innovations.

-The Transfer Phase 1.- Measure Benefits of Innovation Culture and provide Rewards.

-The Transfer Phase 2.- Creating Career Paths for Innovators.

Leadership by Innovation – Encouragement, Generation

and Implementation.



if desired.



Workshop.

This Master Class/Workshop could be amalgamated with

Business Management Quality and Skills module (page 6).


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- Benefits for Implementing Diversity Managment.- External Pressures.- Internal Pressures.

- Managers Diversity Responsibilities.- Diversity Leadership means promoting Team Diversity.- Diversity Consiousness breeds Innovation.

- A Diverse Workforce raises the Client Focus.- Openness to different Cultures increases Trust.- Diversity Increases Overall Performance.

- Open Minds, Close the Gap.

Maximising Performance through Diversity.



if desired.



Workshop.


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- Defining Individual Performance Management Criteria.

- Setting Personal and Business Objectives and Goals.

- Conducting Constructive and meaningful Appraisals.

- Agreement on Mutual Competency Assessment Documentation.

- Identifying, Planning and Actioning required Development and Training

Requirements in both soft and hard skill sets.

Performance Management/ObjectiveSetting.



if desired.



Workshop.

This Master Class/Workshop could be amalgamated with the Business Management Quality

and Skills module (page 6).


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- Distinguishing between Key Performance Indicators (KPI‘s), Key Risk Indicators (KRI‘s) and Key Control Indicators (KRC‘s).- Identification of Risk Profile, Risk

Appetite and Risk Tolerance Levels.- Prime areas of focus for acceptable KPI‘s relating to the Business.- Examples and Values for

measuring various KPI‘s.- Standards for setting up KRI‘s.- Considerations for Selecting and Measuring KRI‘s.

- Quality of Data Issues.- Tracking, Monitoring and ReportingKPI‘s and KRI‘s.

- Converting KRI data into a measurable scorecard to track trends. (Practical Exercise).

- Key Elements and Benefits to the Organisation.

Designing and ImplementingKey Performance andKey Risk Indicators.



if desired.



Workshop.


the Operational Risk Management modules on pages 19 and 21.


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(1)- Risk Review Assessment Exercise.- The Growing Importance of Operataional Risk Management.- Why Focus on Aspects of Fraud.- The Key Challenges and Principles

for Managing Operational Risk.- Designing a Framework to ManageOperational Risk.- Identification.- Assessment of Risk.- Assessment Quantification.- Reporting of Risk.- Treatment of Risk.

- Monitoring of Risk On-going.- Main Causes of Operational Risk and their Rectification.- Defining Macro and Micro Risk Indicators.- Business Continuity Management.

- High Level Principles.- Senior Management Ownership.- Major Operational Disruptions.

- Acceptable Recovery Objectives.- Effective Communication and Testing.

Effective and Efficient Operational Risk Management

Framework/Infrastructure Implementation.

For Non-Financial Institutions



if desired.


Available as a two day Training Master Class/

Workshop.

For additional modules that can be integrated

into this module see next page.


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For Non-Financial Institutions(continued).


(2)

- Data Quality in Operational Risk Management.

- Setting of Quality Data to support Key Risk Indicators.

- Capacity Planning Data for Systems and Operational Processes.- Incident Reporting Data.- Conversion of Data into

measurable levels ofAcceptable/Unacceptable Risk.

- Analysis of Responses to Risk Review Assessment Exercise.

- Conclusion on the Benefits of Effective Operational

Risk Management.

Any of the following additional modules could be integrated into this training module, if so desired, making

it a three to four day master class/workshop.

- Fraud Prevention (in full) page 8.- Corporate Corruption page 9.

- Corporate Governance page 12.- Business Continuity Management

(in full) page 11.- Outsourcing/Alliance Arrangements

page 13.- Key Performance and Key Risk

Indicators (in full) page 18.


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(1)- Risk Review Assessment Exercise.-The Growing Importance of Operataional Risk Management.- Why Focus on Aspects of Fraud.- The Key Challenges and Principles

for Managing Operational Risk.- Designing a Framework to ManageOperational Risk.- Identification.- Assessment of Risk.- Assessment Quantification.- Reporting of Risk.- Treatment of Risk.- Monitoring of Risk On-going.- Main Causes of Operational Risk

and their Rectification.- Defining Macro and Micro Risk Indicators.- Regulation and Corporate Governance for BASEL II/III.- Basic Indicator Approach.- Standardised Approach.

- Advanced Measurement Approach.



For Financial Institutions



if desired.


Available as a three day Training Master Class/

Workshop.

For additional modules that can be integrated

into this module see next page.


l

(2)

- Business Continuity ManagementPractical Exercise.

- Business Continuity Management.- High Level Principles.

- Senior Management Ownership.- Major Operational Disruptions.




- Capacity Planning Data for Systems and Operational Processes.

- Incident Reporting Data.- Conversion of Data into

measurable levels ofAcceptable/Unacceptable Risk.

- Impact to the P&L of each Business Line.



Risk Management.



For Financial Institutions(continued).


Any of the following additional modules could be integrated into this training module, if so desired, making

it a four day master class/workshop.

- Fraud Prevention (in full) page 8.- Corporate Corruption page 9.

- Anti-Money Laundering page 10.- Corporate Governance page 12.

- Business Continuity Management(in full) page 11.

- Outsourcing/Alliance Arrangementspage 13.

- Key Performance and Key Risk Indicators (in full) page 18.


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(1) – Introduction and Setting the Scene.- Risk Review Assessment Exercise.- The International Convergence of

Capital Measurements and Capital Standards.- What are the Regulators Expectations.- The First Pillar – Minimum

Capital Requirements.- Overview of Pillar 1.- Calculation of Minimum Capial Requirements.- The Constituents of Capital.- Credit Risk The Standardised Approach.- What is Expected.

- Implementation Considerations.- Credit Risk Mitigation.

- Credit Risk The Internal Ratings Approach.- The Mechanics.- Definition of different exposures.- Minimum Requirements.- Stress Testing.

Effective and Efficient BASEL II and BASEL III

Implementation – Establishes Best Practice

in Risk Management.



if desired.


Available as a three day Training Master Class/

Workshop.


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(3)

- Designing a Framework to ManageOperational Risk.

- Identification.- Assessment of Risk.

- Assessment Quantification.- Reporting of Risk.- Treatment of Risk.

- Monitoring of Risk On-going.

- Main Causes of Operational Risk and their Rectification.

- Defining Macro and Micro Risk Indicators.

- Regulation and Corporate Governance for BASEL II.- Basic Indicator Approach.- Standardised Approach.

- Advanced Measurement Approach.

- Business Continuity ManagementPractical Exercise.

- Business Continuity Management.- High Level Principles.

- Senior Management Ownership.- Major Operational Disruptions.




in Risk Management.(continued).


(2)

- Credit Risk Securitisation Framework.- Definition.

- Credit Risk Transfer.- Securitisation Exposures.

– Operational Risk- What are the Regulators Expectations.

- The Growing Importance of Operataional Risk Management.

- Why Focus on Aspects of Fraud.

- The Key Challenges and Principles for Managing Operational Risk.


l

(5)

. - Market Risk.- What is Expected.

- Measurement Framework.- Standardised Approach.

- Internal Models Approach.- Stress Testing – Internal

Models Approach.- Monitoring of Risk On-going.

- The Need and Implications of Basel III.

- The Second Pillar – Supervisory Review Process.

- Overview of Pillar 2.- The Key Principles.

- Specific Issues within each Risk Type.

- The Third Pillar – Market Discipline.- Overview of Pillar 3.

- General Considerations.- Disclosure Requirements.

- Some Overall Common Errors.


- Impact of Integrated Risk and Capital Management on the overall

Banks Strategy.



in Risk Management.(continued).


(4)



- Capacity Planning Data for Systems and Operational Processes.- Incident Reporting Data.

- Conversion of Data into measurable levels of Acceptable/Unacceptable

Risk.- Impact to the P&L of each

Business Line.- Conclusion.


Risk Management.


Contact Details

TransWorld Consultancy Services Inc can be contacted via Ronald Hawes at the following :-

Contact Address(es) - Germany – An der Turnhalle 2, 61137 Schöneck. Germany.

Mobile Telephone 00-49-(0) 173-673-0060

- Spain – Calle Vista Alegre 5, Apt 8. Palma de Mallorca, 07015, Spain. Telephone 00-34-971703630

Office Address 24, Taman Hilltop, Phase II, 87007 F.T. Labuan Malaysia. Tel number 00-60-(0) 8742-2599 or Mobile 00-60-(0) 19-446-5966

E-mail Address(es) [email protected] or [email protected]

Website www.TWCS.info

Documents

Introduction to TransWorld Consultancy Services Inc Ronald M. Hawes Founder Director TransWorld Consultancy Services Inc Manage the Risk - Reap the Reward