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In this one-hour recording, we discuss how a braided, three-lines of defense structure around your compliance risk management can enhance your program and effectively mitigate risk.
This recording provides practical approaches to ensuring compliance is embedded in everyday processes and covers:
- Defining the three lines of defense: business unit management, compliance, and audit
- Creating processes, tests, and monitoring initiatives to optimize each line and ensure they work seamlessly together
- Identifying common challenge areas and actionable tips to navigate through them successfully
- Addressing accountability – who should be doing what, when, and how.
- Taking corrective action and how proactive communication can positively impact your processes
- Using all lines to enhance risk assessment
Regulators often cite lack of governance, compliance culture, weak testing & monitoring, in poor CMS program examination reports. Strengthen your CMS program and find out how properly addressing business unit management, compliance, and audits can build a strong, effective, compliant defense in your financial institution.
Top Reasons to Purchase:
- Uncover potential blind spots within your CMS
- Gain actionable best practices and come away with a game-plan to implement a practical, three-pronged line of defense
- Avoid common pitfalls and find out what regulators are paying close attention to
- Get clarity on who is responsible for what and key tips for improving accountability across your FI
- Enhance your risk assessment and ensure compliance is effectively built into FI processes