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SEI releases operational risk survival guide for investment managers


SEI is releasing an online resource to help investment managers identify and avoid common, yet often overlooked, operational risks that could plague their businesses.

The guide is adapted from a book authored by current SEI managing director Holly Miller and her former colleague Phillip Lawton.

The guide, entitled The Top Ten Operational Risks: A Survival Guide for Investment Management Firms, features abridged content and a redesigned format.

The online version is consistent with the book’s original objective: to make key concepts easily accessible and actionable without becoming mired in esoteric issues or technical terms. The beginning chapters are currently available, with the rest of the guide being released in bi-monthly instalments over the coming months.

Each chapter of the online version provides proactive risk management steps, including best practices for identifying whether a given risk exists within an organisation. The series will address areas of risk that are frequently encountered by those who work in or around investment operations, including issues arising from operational reviews; personnel issues; organisational and support issues; and areas of weakness in reconciliation, legal review, and planning. 

“In today’s environment, managers who view operational risk as an afterthought can rarely survive, much less thrive,” says Miller. “In operations, a minor oversight or misstep in daily routines can have potentially major cost or reputational consequences that can take years from which to recover. That’s why we wanted to provide an online resource to help managers understand and reduce their exposure to operational risk, in a way that’s accessible and not overly technical, so the concepts are truly actionable.”

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