$1,999

ETRM Controls, Audit & Operational Risk

Course
178 Lessons

Master the ETRM control environment: preventive, detective and corrective controls across trade capture, confirmation, valuation, scheduling and settlement; segregation of duties and access governance; stale prices and data quality; operational risk, issues and remediation; and the evidence an internal or external auditor will actually accept.

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Module 00 - ETRM Controls & Operational Risk Primer (Chapters 01–08)

1. What an ETRM Control Framework Actually Does.m4a

2. Trade Lifecycle → Risk → Control.m4a

3. Preventive, Detective and Corrective Controls.m4a

4. Manual, Automated and IT-Dependent Manual Controls.m4a

5. Control Objective vs Control Activity.m4a

6. Control Design vs Operating Effectiveness.m4a

7. Evidence and Reperformance.m4a

8. NorthStar ETRM Control Operating Model.m4a

Module 00 - ETRM Controls & Operational Risk Primer.chapters.txt

Module 00 - ETRM Controls & Operational Risk Primer.png

Module 00 - ETRM Controls & Operational Risk Primer.mp4

Module 01 - Operational Risk & RCSA (Chapters 09–20)

9. What Operational Risk Means in ETRM.m4a

10. Risk Event Taxonomy.m4a

11. Inherent Risk.m4a

12. Impact Assessment.m4a

13. Likelihood Assessment.m4a

14. Risk and Control Self-Assessment.m4a

15. Residual Risk.m4a

16. Key Risk Indicators.m4a

17. Risk Appetite and Tolerance.m4a

18. Operational Loss Events.m4a

19. Scenario Analysis.m4a

20. NorthStar ETRM RCSA.m4a

Module 01 - Operational Risk & RCSA.chapters.txt

Module 01 - Operational Risk & RCSA.png

Module 01 - Operational Risk & RCSA.mp4

Module 02 - Trade Capture & Booking Controls (Chapters 21–34)

21. Trade Capture Risk.m4a

22. Front-to-ETRM Trade Completeness.m4a

23. Mandatory Field Controls.m4a

24. Product Eligibility.m4a

25. Counterparty Eligibility.m4a

26. Book and Portfolio Controls.m4a

27. Price Tolerance Controls.m4a

28. Quantity and Notional Controls.m4a

29. Backdated Trade Controls.m4a

30. Late Booking Controls.m4a

31. Amendment Controls.m4a

32. Cancellation and Rebooking.m4a

33. Trader vs Operations Approval.m4a

34. NorthStar Trade Control Engine.m4a

Module 02 - Trade Capture & Booking Controls.mp4

Module 02 - Trade Capture & Booking Controls.chapters.txt

Module 02 - Trade Capture & Booking Controls.png

Module 03 - Segregation of Duties & Access Controls (Chapters 35–48)

35. Why Segregation of Duties Matters.m4a

36. Role-Based Access Control.m4a

37. Least Privilege.m4a

38. Joiner Controls.m4a

39. Mover Controls.m4a

40. Leaver Controls.m4a

41. Periodic Access Recertification.m4a

42. Privileged Access.m4a

43. Emergency Access.m4a

44. Service Accounts.m4a

45. SoD Conflict Detection.m4a

46. Access Override Monitoring.m4a

47. Access Evidence.m4a

48. NorthStar Identity & SoD Control Engine.m4a

Module 03 - Segregation of Duties & Access Controls.mp4

Module 03 - Segregation of Duties & Access Controls.chapters.txt

Module 03 - Segregation of Duties & Access Controls.png

Module 04 - Market Data, Curves & Valuation Controls (Chapters 49–62)

49. Market Data Control Risk.m4a

50. Source Authorization.m4a

51. Market Data Completeness.m4a

52. Stale Price Detection.m4a

53. Price Outlier Detection.m4a

54. Curve Construction Controls.m4a

55. Curve Version Control.m4a

56. Manual Price Overrides.m4a

57. Independent Price Verification Control.m4a

58. Valuation Model Controls.m4a

59. Sensitivity Reasonableness.m4a

60. Market Data Reconciliation.m4a

61. Valuation Exception Governance.m4a

62. NorthStar Market Data Control Framework.m4a

Module 04 - Market Data, Curves & Valuation Controls.mp4

Module 04 - Market Data, Curves & Valuation Controls.chapters.txt

Module 04 - Market Data, Curves & Valuation Controls.png

Module 05 - Confirmations & Contract Controls (Chapters 63–74)

63. Confirmation Control Objective.m4a

64. Confirmation Population.m4a

65. Confirmation Generation.m4a

66. Confirmation Dispatch.m4a

67. Counterparty Matching.m4a

68. Confirmation Breaks.m4a

69. Unconfirmed Trade Ageing.m4a

70. Amendments After Confirmation.m4a

71. Disputed Trades.m4a

72. Electronic Confirmation Interfaces.m4a

73. Confirmation Evidence.m4a

74. NorthStar Confirmation Control Engine.m4a

Module 05 - Confirmations & Contract Controls.mp4

Module 05 - Confirmations & Contract Controls.chapters.txt

Module 05 - Confirmations & Contract Controls.png

Module 06 - Settlements, Payments & Cash Controls (Chapters 75–88)

75. Settlement Risk in ETRM.m4a

76. Settlement Population.m4a

77. Final Price and Fixing Controls.m4a

78. Invoice Calculation Controls.m4a

79. Settlement Instructions.m4a

80. Settlement Instruction Changes.m4a

81. Payment Maker_Checker.m4a

82. Duplicate Payment Controls.m4a

83. Settlement Limits.m4a

84. Cash Reconciliation.m4a

85. Failed Settlements.m4a

86. Payment Fraud Scenarios.m4a

87. Settlement Evidence.m4a

88. NorthStar Settlement Control Engine.m4a

Module 06 - Settlements, Payments & Cash Controls.mp4

Module 06 - Settlements, Payments & Cash Controls.chapters.txt

Module 06 - Settlements, Payments & Cash Controls.png

Module 07 - Interfaces, Batch Processing & Data Integrity (Chapters 89–100)

89. Interface Risk.m4a

90. Source-to-Target Reconciliation.m4a

91. Duplicate Message Controls.m4a

92. Missing Message Controls.m4a

93. Schema and Mapping Controls.m4a

94. Batch Scheduling Controls.m4a

95. Batch Failure Detection.m4a

96. Restart and Recovery.m4a

97. End-of-Day Control.m4a

98. Reference Data Integrity.m4a

99. Data Lineage Evidence.m4a

100. NorthStar Interface Control Framework.m4a

Module 07 - Interfaces, Batch Processing & Data Integrity.mp4

Module 07 - Interfaces, Batch Processing & Data Integrity.chapters.txt

Module 07 - Interfaces, Batch Processing & Data Integrity.png

Module 08 - Change, Incident & Operational Resilience (Chapters 101–112)

101. Change Risk.m4a

102. Change Classification.m4a

103. Requirements and Impact Assessment.m4a

104. Testing Controls.m4a

105. Production Deployment.m4a

106. Emergency Changes.m4a

107. Incident Detection.m4a

108. Incident Severity.m4a

109. Business Continuity.m4a

110. Disaster Recovery.m4a

111. Third-Party & Cloud Dependency.m4a

112. NorthStar Operational Resilience Framework.m4a

Module 08 - Change, Incident & Operational Resilience.mp4

Module 08 - Change, Incident & Operational Resilience.png

Module 08 - Change, Incident & Operational Resilience.chapters.txt

Module 09 - Control Testing, Audit & Assurance (Chapters 113–122)

113. Three Lines Applied to ETRM.m4a

114. Control Design Assessment.m4a

115. Control Population.m4a

116. Sampling.m4a

117. Reperformance.m4a

118. Automated Control Testing.m4a

119. IT-Dependent Manual Control Testing.m4a

120. Audit Trail and Evidence Quality.m4a

121. Audit Findings.m4a

122. NorthStar ETRM Audit Program.m4a

Module 09 - Control Testing, Audit & Assurance.mp4

Module 09 - Control Testing, Audit & Assurance.chapters.txt

Module 09 - Control Testing, Audit & Assurance.png

Module 10 - Issues, Root Cause & Remediation (Chapters 123–126)

123. Issue Management.m4a

124. Root Cause Analysis.m4a

125. Remediation Design.m4a

126. Closure Validation.m4a

Module 10 - Issues, Root Cause & Remediation.mp4

Module 10 - Issues, Root Cause & Remediation.chapters.txt

Module 11 - NorthStar Control Failure Capstone (Chapters 127–130)

127. The €27M Control Incident.m4a

128. Reconstruct the Failure Chain.m4a

129. Determine Root Cause & Residual Risk.m4a

130. Audit Committee & Operational Risk Defence.m4a

Module 11 - NorthStar Control Failure Capstone.mp4

Module 11 - NorthStar Control Failure Capstone.chapters.txt

Module 11 - NorthStar Control Failure Capstone.png

Module PDFs and Labs

Module-00-ETRM-Controls-Operational-Risk-Primer_DurgaAnalytics.pdf

Module-01-Operational-Risk-RCSA_DurgaAnalytics.pdf

Module-02-Trade-Capture-Booking-Controls_DurgaAnalytics.pdf

Module-03-Segregation-of-Duties-Access-Controls_DurgaAnalytics.pdf

Module-04-Market-Data-Curves-Valuation-Controls_DurgaAnalytics.pdf

Module-05-Confirmations-Contract-Controls_DurgaAnalytics.pdf

Module-06-Settlements-Payments-Cash-Controls_DurgaAnalytics.pdf

Module-07-Interfaces-Batch-Processing-Data-Integrity_DurgaAnalytics.pdf

Module-08-Change-Incident-Operational-Resilience_DurgaAnalytics.pdf

Module-09-Control-Testing-Audit-Assurance_DurgaAnalytics.pdf

Module-10-Issues-Root-Cause-Remediation_DurgaAnalytics.pdf

Module-11-NorthStar-Control-Failure-Capstone_DurgaAnalytics.pdf

etrm-controls-audit_Labs.zip