How gaps are addressed is key to the success of your compliance program. But how should firms identify these gaps—and insure that company leadership is aware of them?
During the discussion CCO Insurance – The Importance of Transparent Escalation Elin talks about how to build a natural escalation into your Compliance Program, so that your compliance concerns are communicated to senior management in a manner where they heard and not seen as alarmist. The focus will be on using tools you already have as well as the importance of rigor around compliance reporting.
MCO has resources that can help your firm seamlessly monitor, identify and remedy conflicts of interest and code of conduct issues via one platform. MyComplianceOffice provides a fully integrated, Conduct Risk platform that helps organizations avoid fines and sanctions by using a global company and security master dataset to identify conflicts across employees, firm transactions and third parties. Extensive dashboard and reporting capabilities provide unparalleled transparency throughout the organization while capturing a complete compliance review for internal education and escalation, auditing, and regulatory purposes.
Ready to learn more? Let us know and one of our experts will be in touch.