Survival of the Fittest: Compliance Program Evolution
In our April webinar industry experts from ReGroup, LLC gave us insight into the evolution of the compliance program. As all compliance programs continuously evolve, how do you measure your success or plan for the next step in the development of your program? The slides introduce a practical approach to assessing the current maturity of your program and processes using a compliance program maturity model. This model is designed to help you track and communicate your current state as well as pinpoint the places where your program can level up including governance, risk, process, culture, and design.
- Introduction to the Evolving Compliance Program (08:25)
- Ten Pillars of Good Compliance Design (03:09)
- Compliance Program Maturity level, where does your firm fall? (06:51)
- Questions you should ask, when assessing your program's maturity (02:48)
- Case Study in Assessing Compliance program maturity (10:09)
- Four stages of Compliance Program Maturity (02:09)
- Q&A on Compliance Program Maturity and Design (06:29)
You can access the slides from this webinar here
Download our whitepaper; 'CCO's Guide to Migrate Your Compliance Program to a SaaS Solution'