Introduction to
TransWorld Consultancy
Services Inc
Staff Training and Development
Modules – for 2011
Ronald M. Hawes
Founder Director
TransWorld Consultancy Services Inc
Manage the Risk - Reap the Reward
Ignore the Risk - Accept the Consequence
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
November 2010 · page 2
Welcome to
TransWorld Consultancy Services Inc
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.
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.
November 2010 · page 3
Services Provided by
TransWorld Consultancy Services Inc
Operational Risk
Management
In-sourcing/
Outsourcing Project
Management
Operational
Re-engineering
Business
Continuity
Management
Fraud
Prevention
Anti-Money
Laundering
Corporate
Governance
Staff Training
and
Development
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.
November 2010 · page 4
Management and Staff Training and Development
Modules for 2011
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.
November 2010 · page 5
Examples of Available Management and Staff
l
Training/Development
Master Class/Workshop Modules
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.
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.
November 2010 · page 6
Examples of Available Management and Staff
bbbbb
Training/Development
Master Class/Workshop Modules
Business Management Quality and Skills
(Detailed Content)
- Understanding what Strategic
Planning 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.
November 2010 · page 7
- Work Process Design
and Flowcharts.
- Understanding aspects and
benefits of Motivation
(Not to command but to Inspire
and 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 Management
Skills and Leadership Qualities with
aspects of Emotional Intelligence.
Examples of Available Management and Staff
l
Training/Development
Master Class/Workshop Modules
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.
Master Class/Workshop
subject matter can be
adjusted/refocused
and/or extended/reduced
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).
November 2010 · page 8
Examples of Available Management and Staff
l
Training/Development
Master Class/Workshop Modules
Understanding Global
Impact and Effective
Management to minimise
and protect against
Corporate Corruption.
Master Class/Workshop
subject matter can be
adjusted/refocused
and/or extended/reduced
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).
November 2010 · page 9
Examples of Available Management and Staff
l
Training/Development
Master Class/Workshop Modules
Anti-Money Laundering
– Regulation, Detection,
Transaction Excellence and
Risk Assessment
a Global Issue.
Master Class/Workshop
subject matter can be
adjusted/refocused
and/or extended/reduced
if desired.
Available as a one day
Training Master Class/
Workshop.
This Master Class/Workshop
is ideal for amalgamation with
Fraud Prevention (page 8),
and Corporate Corruption
(page 9) and Corporate
Governance (page 12).
November 2010 · page 10
Examples of Available Management and Staff
l
Training/Development
Master Class/Workshop Modules
Business Continuity
Management Planning.
Master Class/Workshop
subject matter can be
adjusted/refocused
and/or extended/reduced
if desired.
Available as a one day
Training Master Class/
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.
November 2010 · page 11
Examples of Available Management and Staff
l
Training/Development
Master Class/Workshop Modules
Corporate Governance
from good basic Principles
to effective sound Practice.
Master Class/Workshop
subject matter can be
adjusted/refocused
and/or extended/reduced
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 Corporate Corruption
(page 9), and Anti-Money
Laundering (page10).
November 2010 · page 12
Examples of Available Management and Staff
l
Training/Development
Master Class/Workshop Modules
Managing Outsourcing /
Alliance Arrangements
and the associated Risk
aspects in order to provide
Effective Back Office
Solutions
for Cost Reductions
and Higher Efficiency.
Master Class/Workshop
subject matter can be
adjusted/refocused
and/or extended/reduced
if desired.
Available as a one day
Training Master Class/
Workshop.
This Master Class/Workshop is
ideal for amalgamation with the
Operational Risk Management
modules on pages 19 and 21
and the Basel II/III for Banks
module on page 23.
November 2010 · page 13
Examples of Available Management and Staff
l
Training/Development
Master Class/Workshop Modules
Project Management
Governance.
Master Class/Workshop
subject matter can be
adjusted /refocused
and/or extended/reduced
if desired.
- Project Support Roles
and Responsibilities.
- Project Governance Infrastructure.
- Project Initiation.
- Strategic Compliance, Business
Requirements, Executive Summary.
Project Objectives, Goals and Benefits.
- 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.
- Planning Phase 1.
- Define Scope and Interfaces to related
processes and/or systems,
Full Draft Business Requirements,
Baseline Project Plan, Cost Feasibility.
November 2010 · page 14
Available as a one day
Training Master Class/
Workshop.
- Success Factors.
- On-time Delivery.
- Within Budget Delivery.
- High Quality Delivery.
Examples of Available Management and Staff
l
Training/Development
Master Class/Workshop Modules
Leadership by Innovation –
Encouragement, Generation
and Implementation.
Master Class/Workshop
subject matter can be
adjusted/refocused
and/or extended/reduced
if desired.
Available as a one day
Training Master Class/
Workshop.
This Master Class/Workshop
could be amalgamated with
Business Management Quality
and Skills module (page 6).
November 2010 · page 15
Examples of Available Management and Staff
l
Training/Development
Master Class/Workshop Modules
Maximising Performance
through
Diversity.
Master Class/Workshop
subject matter can be
adjusted/refocused
and/or extended/reduced
if desired.
Available as a half day
Training Master Class/
Workshop.
November 2010 · page 16
Examples of Available Management and Staff
l
Training/Development
Master Class/Workshop Modules
Performance Management/
ObjectiveSetting.
Master Class/Workshop
subject matter can be
adjusted/refocused
and/or extended/reduced
if desired.
- Defining Individual Performance
Management Criteria.
- Setting Personal and Business
Objectives and Goals.
- Conducting Constructive
and meaningful Appraisals.
Available as a half day
Training Master Class/
Workshop.
This Master Class/Workshop
could be amalgamated with the
Business Management Quality
and Skills module (page 6).
November 2010 · page 17
- Agreement on Mutual Competency
Assessment Documentation.
- Identifying, Planning and Actioning
required Development and Training
Requirements in both
soft and hard skill sets.
Examples of Available Management and Staff
l
Training/Development
Master Class/Workshop Modules
Designing and Implementing
Key Performance and
Key Risk Indicators.
Master Class/Workshop
subject matter can be
adjusted/refocused
and/or extended/reduced
if desired.
Available as a one day
Training Master Class/
Workshop.
This Master Class/Workshop
is ideal for amalgamation with
the Operational Risk Management
modules on pages 19 and 21.
November 2010 · page 18
Examples of Available Management and Staff
l
Training/Development
Master Class/Workshop Modules
Effective and Efficient
Operational Risk Management
Framework/Infrastructure
Implementation.
For Non-Financial Institutions
Master Class/Workshop
subject matter can be
adjusted/refocused
and/or extended/reduced
if desired.
Available as a two day
Training Master Class/
Workshop.
For additional modules
that can be integrated
into this module
see next page.
November 2010 · page 19
Examples of Available Management and Staff
l
Training/Development
Master Class/Workshop Modules
Effective and Efficient
Operational Risk Management
Framework/Infrastructure
Implementation.
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 of
Acceptable/Unacceptable Risk.
- Analysis of Responses to Risk
Review Assessment Exercise.
- Conclusion on the Benefits of
Effective Operational
Risk Management.
November 2010 · page 20
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.
Examples of Available Management and Staff
l
Training/Development
Master Class/Workshop Modules
Effective and Efficient
Operational Risk Management
Framework/Infrastructure
Implementation.
For Financial Institutions
Master Class/Workshop
subject matter can be
adjusted/refocused
and/or extended/reduced
if desired.
Available as a three day
Training Master Class/
Workshop.
For additional modules
that can be integrated
into this module
see next page.
November 2010 · page 21
Examples of Available Management and Staff
l
Training/Development
Master Class/Workshop Modules
Effective and Efficient
Operational Risk Management
Framework/Infrastructure
Implementation.
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 Arrangements
page 13.
- Key Performance and Key Risk
Indicators (in full) page 18.
(2)
- Business Continuity Management
Practical Exercise.
- Business Continuity Management.
- High Level Principles.
- Senior Management Ownership.
- Major Operational Disruptions.
- Acceptable Recovery Objectives.
- Effective Communication and Testing.
- 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 of
Acceptable/Unacceptable Risk.
- Impact to the P&L of
each Business Line.
- Analysis of Responses to
Risk Review Assessment Exercise.
- Conclusion on the Benefits
of Effective Operational
Risk Management.
November 2010 · page 22
Examples of Available Management and Staff
l
Training/Development
Master Class/Workshop Modules
Effective and Efficient
BASEL II and BASEL III
Implementation
– Establishes Best Practice
in Risk Management.
Master Class/Workshop
subject matter can be
adjusted/refocused
and/or extended/reduced
if desired.
Available as a three day
Training Master Class/
Workshop.
November 2010 · page 23
Examples of Available Management and Staff
l
Training/Development
Master Class/Workshop Modules
Effective and Efficient
BASEL II and BASEL III
Implementation
– Establishes Best Practice
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.
November 2010 · page 24
(3)
- Designing a Framework to Manage
Operational 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 Management
Practical Exercise.
- Business Continuity Management.
- High Level Principles.
- Senior Management Ownership.
- Major Operational Disruptions.
- Acceptable Recovery Objectives.
- Effective Communication and Testing.
Examples of Available Management and Staff
l
Training/Development
Master Class/Workshop Modules
Effective and Efficient
BASEL II and BASEL III
Implementation
– Establishes Best Practice
in Risk Management.
(continued).
(4)
- 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 of Acceptable/Unacceptable
Risk.
- Impact to the P&L of each
Business Line.
- Conclusion.
- Conclusion on the Benefits of
Effective Operational
Risk Management.
(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.
- Analysis of Responses to Risk
Review Assessment Exercise.
- Impact of Integrated Risk and
Capital Management on the overall
Banks Strategy.
November 2010 · page 25
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) 19-4465966
 E-mail Address(es)
Ronald@TWCS.info or Mail@TWCS.info
 Website
www.TWCS.info
November 2010 · page 26