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Investment Banking Risk Control Framework

Name

Investment Banking Risk Control Framework

Description

Title of the Audit Working Paper(s): RCM Investment Banking

Purpose of the working paper. To establish inherent risks and institute mitigating controls around Investment Banking auditable entity.

Audit objectives for the working paper. To provide reasonable assurance that risks inherent in Investment Banking auditable entity is effectively mitigated to achieve business objectives.

Industry sector for your contribution (i.e. life insurance, banking, energy, etc.) Banking

Functional area for your audit program. Investment Banking

Key words to help categorize programs and facilitate searches. Risk Control Matrix, Risk Response Matrix

Standard (Non-IT) Audit Program

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