Solid policies and procedures are the backbone of an effective compliance program, providing a framework for the consistent application of rules and requirements across the organization and third parties with who the firm conducts business.
But just having a library of policies isn't enough. The key is having policies and procedures that are clear, actionable, defensible, adhered to across the firm and consistently updated to keep pace with regulatory change. In the complex and volatile business environment that financial services firms are operating in, that goal is often easier said than done.
According to Michael Rasmussen,"Policies are critical to the organization as they establish boundaries of behavior for individuals, processes, relationships, and transactions. Starting with the policy of all policies – the code of conduct – they filter down to govern the enterprise at all levels." Michael Rasmussen, OCEG Policy Management Illustrated eBook
This insightful webinar session offers practical insights into policy and procedure management in financial services. Learn how structured processes and the right technology can help your organization stay ahead in the ever-changing regulatory landscape while ensuring optimal employee engagement and compliance.
Learning objectives include: