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Mastering Risk and Control Self-Assessment for Organizational Success

Clear and effective communication of short- and long-term objectives is essential for organizations to establish a strategic direction and a clear path toward achieving these goals. Aligning strategic, operational, reporting, compliance, and assurance activities with organizational and stakeholder value-driven objectives creates a foundation for assessing risks that could hinder success. Effective risk assessment enables the practical application of solutions through integrated and efficient internal control strategies. Small and medium-sized enterprises (SMEs), in particular, face unique challenges in resource-limited environments, requiring them to find and implement cost-effective controls to ensure risk mitigation and objective fulfillment. This program will provide practical, real-world risk and control self-assessment tools to support short- and long-term organizational and stakeholder objectives.

Learning Objectives:

• Understand the Benefits of Self-Assessment
• Conduct Self-Assessments in Resource-Constrained Environments
• Differentiate Enterprise and Process-Level Self-Assessments
• Clarify and Align Organizational and Stakeholder Objectives
• Identify Risks to Achieving Objectives
  • Address Qualitative and Quantitative Risk Assessment Considerations
  • Distinguish Between Intentional (e.g., Fraud) and Unintentional Risk Factors
  • Recognize Internal and External Sources of Risk
• Prioritize and Manage Risks
• Explore ‘GRC’ (Governance, Risk Management, and Control) Foundations and Frameworks
• Identify and Implement Controls to Mitigate Risks
• Enhance Oversight, Monitoring, and Improvement of the Self-Assessment Process

The Presenters:

James D. (Jim) Hallinan is the Founder, Owner, and Leader of GO2 JH Communications and Consulting. Jim is a growth opportunity oriented (GO2) personal, professional, organizational development, governance, leadership, audit and risk management/control trusted coaching, training and consulting resource partner, and inspirational – motivational communications leader. Jim has over 30 years of diversified corporate and independent consulting and training experience and has been a speaker at various in-house, professional/ organization, and client conferences and training events. During his corporate career, Jim managed relationships and assignments throughout the U.S. and internationally in London, Hong Kong, Japan, Australia, and Taiwan. Jim’s life / work mission is to help enlighten (‘bring forth the light from within’), inspire, empower, and support people from all walks and stages of life, teams, groups, and organizations of all types and sizes, and families, schools and communities everywhere, in their quests to create significant, positive, sustainable change; tap more fully into / unleash their inner genius, infinite creativity, and unlimited potential; and experience ever-increasing levels of growth, fulfillment, and success! 

About CPE/CLE:

* The ALA issues CLE credits as an accredited provider of CLE in Pennsylvania (PA CLE Provider # 5963). The PA Supreme Court CLE Board approves live, internet-based courses as Distance Learning courses. For additional information, please visit http://www.pacle.org/.  To the best of our knowledge, the following states have attorney self-reporting procedures for out-of-state provider programs or reciprocity with accredited providers in the state of Pennsylvania: Arizona, Arkansas, Colorado, Florida, Hawaii, Illinois, Indiana, Louisiana, Massachusetts, Michigan, Montana, New York, North Carolina, North Dakota, Ohio, South Carolina, and South Dakota.  However, please review the specific rules and requirements in your state.  Please contact member services with any questions at memberservices@alacommunity.org.

Check with your State CLE Board for rules pertaining to live webcasts. These rules differ from state to state. For example, PA attorneys may earn up to 6 CLE credits per compliance period via live webcasts (or 6 out of 12 credits per year); NJ and DE attorneys may earn up to 12 CLE credits per compliance period via live webcasts (or 12 out of 24 credits per two years).

The Accountant-Lawyer Alliance, LLC is registered with the National Association of State Boards of Accountancy (NASBA), as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN, 37219-2417. Web site:www.nasba.org.

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