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Quest Training

Treasury Operations & Controls

Treasury Operations & Controls is a comprehensive professional training course designed to equip banking and financial professionals with the knowledge, operational expertise, and control mechanisms required to manage…

TFM · Treasury & Financial MarketsClassroom
Duration
5 Days
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Sectors:Banking & FinanceCategories:Treasury & Financial Markets

Course Overview

Treasury Operations & Controls is a comprehensive professional training course designed to equip banking and financial professionals with the knowledge, operational expertise, and control mechanisms required to manage treasury operations efficiently while maintaining strong governance, regulatory compliance, and operational integrity. As treasury activities become increasingly complex due to evolving financial markets, digital transformation, regulatory requirements, and sophisticated financial instruments, effective treasury operations and robust internal controls are essential for minimizing operational risk, safeguarding financial assets, and supporting sustainable banking performance. This course provides participants with a structured understanding of the end-to-end treasury operating environment, covering front office, middle office, and back office functions, trade execution, confirmation, settlement, reconciliation, collateral management, cash management, securities operations, and treasury accounting. Participants will explore internationally recognized treasury control frameworks, operational governance, segregation of duties, authorization controls, operational risk management, and regulatory expectations. The program emphasizes the importance of strong operational controls in maintaining financial stability, improving process efficiency, and supporting sound corporate governance. The program also examines treasury operational risk management, including trade lifecycle management, settlement risk, reconciliation controls, fraud prevention, exception management, treasury systems, automation, business continuity, and internal audit coordination. Participants will gain practical knowledge of treasury performance monitoring, operational Key Risk Indicators (KRIs), Key Performance Indicators (KPIs), regulatory reporting, and continuous process improvement while strengthening the integration of Treasury Operations & Controls with Enterprise Risk Management, Treasury Risk Management, Compliance, and Finance. Through practical case studies, treasury process simulations, and interactive workshops, participants will strengthen their ability to evaluate treasury processes, improve operational controls, manage treasury risks, resolve operational exceptions, and enhance reporting accuracy. By the end of the course, participants will be equipped to strengthen treasury governance, improve operational resilience, enhance control effectiveness, reduce operational losses, and support sustainable treasury performance through effective Treasury Operations & Controls.

Learning Objectives

  • Analyze Treasury Operations & Controls principles and evaluate their implementation within banking and financial institutions by the end of the course.
  • Develop comprehensive treasury operating frameworks covering front office, middle office, and back office functions.
  • Evaluate treasury operational processes and identify operational risks, control weaknesses, and improvement opportunities.
  • Apply internationally recognized treasury operational control frameworks, governance principles, and internal control methodologies.
  • Design effective treasury operational controls, including segregation of duties, authorization procedures, reconciliation processes, and settlement controls.
  • Improve treasury operational efficiency through process optimization, automation, exception management, and performance monitoring.
  • Strengthen treasury governance by implementing robust policies, operational procedures, reporting structures, and oversight mechanisms.
  • Implement treasury operational risk management practices, business continuity planning, and incident management processes.
  • Assess emerging treasury operational risks associated with digital transformation, financial technology, cybersecurity, and evolving regulatory expectations.
  • Align Treasury Operations & Controls with Enterprise Risk Management, Treasury Risk Management, Finance, Compliance, and Internal Audit before course completion.

Who Should Attend

This course is designed for Treasury Operations Managers, Treasury Managers, Treasury Analysts, Treasury Controllers, Middle Office Managers, Back Office Managers, Front Office Support Professionals, Treasury Risk Managers, Liquidity Managers, Banking Operations Managers, Finance Managers, Internal Control Managers, Operational Risk Managers, Internal Audit Managers, Compliance Managers, Treasury Systems Specialists, Settlement Officers, Reconciliation Specialists, and professionals responsible for treasury operations within banks and financial institutions. The program is equally valuable for Chief Financial Officers, Chief Risk Officers, Chief Treasury Officers, Executive Management Teams, Asset and Liability Committee (ALCO) members, Board Risk Committee members, Audit Committee members, Central Bank Professionals, Banking Supervisors, Investment Firms, Insurance Companies, Payment Service Providers, FinTech Organizations, and senior decision-makers responsible for treasury governance, operational resilience, financial control, regulatory compliance, and strategic financial management.

Learning Outcomes

  • By the end of this course, participants will be able to:
  • Develop an integrated Treasury Operations & Controls framework aligned with international banking standards and industry best practices.
  • Evaluate treasury operational processes and identify opportunities to strengthen operational controls and reduce operational risk.
  • Apply effective operational controls across treasury trading, confirmations, settlements, reconciliations, and collateral management.
  • Design segregation of duties, authorization controls, exception management procedures, and treasury governance frameworks.
  • Improve treasury operational efficiency through automation, process standardization, and continuous improvement initiatives.
  • Develop treasury operational performance dashboards using Key Risk Indicators (KRIs) and Key Performance Indicators (KPIs).
  • Integrate Treasury Operations & Controls with Treasury Risk Management, Enterprise Risk Management, Finance, Compliance, and Internal Audit.
  • Strengthen treasury business continuity planning, operational resilience, and incident response capabilities.
  • Assess operational risks associated with treasury technology, cybersecurity, digital banking, and financial market infrastructure.
  • Develop a practical implementation roadmap to strengthen Treasury Operations & Controls, improve governance, enhance operational resilience, reduce operational losses, and support sustainable banking performance.

Course Outline

1

Course Outline:

2

Day 1: Foundations of Treasury Operations & Controls

3

Foundations of Treasury Operations & Controls

4

Treasury operating model and organizational structure

5

Front office, middle office, and back office responsibilities

6

Treasury governance principles and internal control framework

7

Regulatory requirements for treasury operations

8

Practical application: Evaluating treasury operational processes and governance structures

9

Day 2: Treasury Transaction Processing and Operational Controls

10

Treasury Transaction Processing and Operational Controls

11

Trade lifecycle management

12

Trade confirmation, settlement, and reconciliation processes

13

Segregation of duties and authorization controls

14

Exception management and operational error resolution

15

Practical application: Designing operational control procedures for treasury activities

16

Day 3: Treasury Operational Risk Management

17

Treasury Operational Risk Management

18

Treasury operational risk identification and assessment

19

Settlement risk and reconciliation risk management

20

Fraud prevention and treasury control monitoring

21

Treasury systems, automation, and operational resilience

22

Practical application: Conducting a treasury operational risk assessment

23

Day 4: Performance Measurement, Compliance, and Governance

24

Performance Measurement, Compliance, and Governance

25

Treasury operational performance measurement

26

Key Risk Indicators (KRIs) and Key Performance Indicators (KPIs)

27

Regulatory reporting and compliance requirements

28

Internal audit coordination and continuous assurance

29

Practical application: Developing treasury operational dashboards and governance reports

30

Day 5: Building a High-Performance Treasury Operations & Controls Framework

31

Building a High-Performance Treasury Operations & Controls Framework

32

Integrating Treasury Operations & Controls with Enterprise Risk Management and Treasury Risk Management

33

International best practices and evolving treasury operating models

34

Digital transformation and innovation in treasury operations

35

Continuous improvement of treasury operational controls and governance

36

Final workshop: Developing a comprehensive Treasury Operations & Controls implementation plan that includes treasury process optimization, transaction lifecycle controls, reconciliation and settlement procedures, operational risk management, governance enhancements, business continuity planning, performance measurement, regulatory reporting, automation initiatives, and continuous improvement strategies to strengthen operational resilience, internal control effectiveness, regulatory compliance, and sustainable banking performance.

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