Risk & Compliance in Investment Banking

📖 What’s Inside

• Operational Risk – failures in people, processes, and systems
• Market Risk – volatility, interest rate, and currency exposures
• Liquidity Risk – managing cash flow, funding gaps, and survival in stress
• Placement–Layering–Integration – the AML stages every banker must spot
• Three Lines of Defense in STR/SAR – prevention, detection, and independent assurance
• Management Oversight – embedding compliance into governance
• Audit Trail Management – transparency, accountability, and regulatory trust

🎯 Best Suited For

• Aspiring investment banking professionals
• Risk & compliance specialists preparing for interviews
• Students of finance seeking real-world GRC applications
• Auditors & regulators interested in banking controls