Competency Title:

Risk Management

Competency Type:


Competency Description

This competency refers to the ability to identify and manage risks related to capital market industry. The scope includes developing risk management programmes; undertaking regular risk assessment and providing regulatory advice and solutions on risk issues.

Level 1 - Awareness

Level 1

• Identify basic risk management principles.
• Identify the processes in an effective risk management programme.
• Identify the classification of risks in capital market activities.
• Identify risk management practices in the organisation.
Level 2 - Knowledge

Level 2

• Recognise emerging risks issues and trends in the capital market industry.
• Outline the risk management programme in capital market activities.
• Recognise the desired risk tolerance/appetite across the industry.
• Recognise the desired behaviours in developing a risk management culture.
Level 3 - Skill

Level 3

• Develop action plans to mitigate associated risks within the business entity.
• Execute appropriate activities in a risk management programme.
• Conduct assessment on business processes to identify associated risks.
• Perform roles and responsibilities in developing a risk management culture.
Level 4 - Mastery

Level 4

• Analyse impact of risks on the business operation and sustainability.
• Establish protocols to monitor and control processes to detect and mitigate any risks.
• Appraise level of risk mitigation/controls based on monitoring and audit findings.
• Coach and guide others to observe desired risk management practices.
Level 5 - Expert

Level 5

• Integrate risk management processes with business process management programme.
• Determine measures of effective risks monitoring and control processes.
• Propose responses and solutions to manage risks that impact business sustainability.
• Design programmes to inculcate risk management culture within the organisation.