Key Risks for Wealth Management Firms

Key Risks for Wealth Management Firms

Faisal Sheikh

25 years: Wealth and risk management specialist

The primary risks that a wealth management firm and its clients are exposed to are similar to those faced by the rest of the financial industry. In this video, Faisal explains each of these primary risk categories and their impacts, as well as aspects of the risk management framework and oversight established by wealth management firms to manage them.

The primary risks that a wealth management firm and its clients are exposed to are similar to those faced by the rest of the financial industry. In this video, Faisal explains each of these primary risk categories and their impacts, as well as aspects of the risk management framework and oversight established by wealth management firms to manage them.

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Key Risks for Wealth Management Firms

6 mins 22 secs

Overview

Risks a wealth management firm and its clients are exposed to are similar to those faced by the rest of the financial industry, specifically market, credit, investment, liquidity and operational risk. These risks will however impact wealth management firms and their clients in different ways, and to different extents, when compared to other firms in the financial sector.

Key learning objectives:

  • Outline the risks faced by wealth management firms

  • Understand how the risks impact wealth management firms and their clients

  • Understand how these risks are managed

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This content is also available as part of a premium, accredited video course. Sign up for a 14-day trial to watch for free.

Summary
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Expert
Faisal Sheikh

Faisal Sheikh

Faisal is a wealth management professional has spent almost 30 years working in the field of risk management, risk control, internal auditing in the financial services and public sector. Most recently, Faisal was the Head of Risk for the Wealth Management business of UBS in the UK. He has also extensive international experience across Europe, the Americas, Asia and Africa. He has also a served as CISI operational risk expert panel member.

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