Editors

Contributors

Foreword

Introduction: Rising to the Challenges of Non-Financial Risk Management, Compliance and ESG
Prof. Dr. Douglas Arner, Dr. Bernhard Gehra, Jannik Leiendecker, Dr. Georg Lienke

Definition of Non-Financial Risk in Financial Institutions
Martina Mietzner, Dr. Julia Gebhardt, Dr. Katharina Hefter, Jennifer Rabener, Dr. Carsten Wiegand

Risk Boundaries – Setting an Analytical Risk Appetite Framework for Non-Financial Risks
Federico Truffelli, Dr. Ulrich Göres, Lorenzo Fantini, Michele Rigoni, Luca Rancan

The Three Lines of Defence Model: Key Success Factors for Effective Risk Management
Dr. Oliver Engels, Marc Peter Klein, Peter Gürtlschmidt, Dr. Georg Lienke, Rei Tanaka

Global Functional Lead in Non-Financial Risk Management: Ensuring Consistency and Integration in Complex Organisations
Ulrike Brouzi, Dr. Michael Lange, P. Robert Mieszkowski, Jannik Leiendecker, Dr. Georg Lienke, Florian Seiferlein, Norbert Gittfried, Rei Tanaka

Policies and Procedures: Framework and Governance Requirements in the Financial Sector
Dr. Erasmus Faber, Björn Stauber, Dr. Georg Lienke

Top-Down Risk and Control Assessment: A Forward-Looking Approach to Evaluate Company-Wide Non-Financial Risk Exposure
Hurdogan Irmak, Burcu Nasuhoglu, Dr. Erasmus Faber, Lorenzo Fantini, Benedetta Testino, Jannik Leiendecker, Barbara Fojcik, Dr. Georg Lienke

A Top-Down Approach to Non-Financial Risk Reporting: Collaboration Across Risk Types for Sustainable Risk Steering
Valérie Villafranca, Dr. Georg Lienke, Florian Seiferlein, Kai Gammelin, Dr. Katharina Hefter, Norbert Gittfried

Internal Investigations into Corporate Misconduct: Applying an Investigative Approach to Enable Proactive Risk Oversight
Lora von Ploetz, Florian Seiferlein

Technical Application and Data Architecture for Non-Financial Risk Management
Kai Gammelin, Björn Stau