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Operational Risk in Investment Banking

The dissertation titled 'Operational Risk Management in Investment Banks: A Case Study Approach' investigates how investment banks manage operational risks through internal processes and frameworks. It employs a case study methodology, including interviews with bank management, to provide practical insights into risk management strategies. The research aims to enhance understanding of operational risk management's significance in maintaining financial stability and governance within investment banks.

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Harkirat Singh
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3 views2 pages

Operational Risk in Investment Banking

The dissertation titled 'Operational Risk Management in Investment Banks: A Case Study Approach' investigates how investment banks manage operational risks through internal processes and frameworks. It employs a case study methodology, including interviews with bank management, to provide practical insights into risk management strategies. The research aims to enhance understanding of operational risk management's significance in maintaining financial stability and governance within investment banks.

Uploaded by

Harkirat Singh
Copyright
© All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as DOCX, PDF, TXT or read online on Scribd

HARKIRAT SINGH

Introduction
Investment banks play a pivotal role in the global financial system, acting
as intermediaries in the movement of capital and supporting economic
development. However, these institutions are exposed to significant risks,
one of the most critical being operational risk. This category
encompasses risks arising from inadequate or failed internal processes,
systems, human errors, or external events, all of which can undermine the
stability of these financial institutions. The dissertation, "Operational
Risk Management in Investment Banks: A Case Study
Approach," examines the methodologies and frameworks employed by
investment banks to manage these operational risks.

This research is motivated by the increasing complexity of risk


management within investment banking, particularly as operational risks
have grown in prominence due to technological advancements and
heightened regulatory expectations. The scope of this study is
deliberately focused on operational risk, avoiding a broad or
macroeconomic perspective. While global financial dynamics offer a
backdrop for understanding the significance of these risks, this
dissertation will specifically analyse the internal risk management
processes within investment banks.

The case study approach will allow for an in-depth examination of how
operational risks are mitigated within select banks. By conducting
interviews with bank management, this research aims to explore the
practical aspects of risk management, complementing existing theoretical
frameworks with real-world insights. The intention is to identify both the
common strategies and unique practices employed by these institutions
to protect their operations from operational failures.

This topic is closely aligned with the academic objectives of my program,


particularly in its focus on international finance and risk management. By
applying theoretical knowledge to a practical setting, the dissertation
seeks to contribute meaningfully to the broader understanding of how
investment banks manage operational risk. Additionally, the subject
matter has relevance beyond academia, given the critical role that
operational risk management plays in maintaining the stability of the
financial system.

From a personal perspective, this research aligns with my broader interest


in the governance and stability of financial institutions. The study of
operational risk management provides a framework to examine the
vulnerabilities that can arise within the operations of investment banks
and the measures implemented to address them. These issues are not
merely theoretical concerns; they have substantial implications for the
ongoing stability of the global financial system and the sustainability of
banking operations.

OPERATIONAL RISK MANAGEMENT IN


INVESTMENT BANK: A CASE STUDY
HARKIRAT SINGH

In conclusion, this dissertation will explore operational risk


management in investment banking through a targeted, case study-
based approach. The research will focus on understanding the processes
and frameworks that banks use to mitigate operational risks, contributing
to both the academic field and practical understanding of risk
management in this sector.

OPERATIONAL RISK MANAGEMENT IN


INVESTMENT BANK: A CASE STUDY

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