New Paradigm in Risk and Compliance: How to anticipate and prepare for more regulatory scrutiny

Instructor: James Bone
Product ID: 701543
Training Level: Intermediate to Advanced
  • Duration: 60 Min

recorded version

1x Person - Unlimited viewing for 6 Months
(For multiple locations contact Customer Care)
Recorded Link and Ref. material will be available in My CO Section

Training CD

One CD is for usage in one location only.
(For multiple locations contact Customer Care)
CD and Ref. material will be shipped within 15 business days

Customer Care

Fax: +1-650-963-2556


Read Frequently Asked Questions

This Risk compliance training will guide you through the new tools to streamline compliance, how to communicate the value proposition of compliance and risk management and anticipate new regulatory scrutiny and more intrusive audit engagements.

Why Should You Attend:
The Securities and Exchange Commission has begun to upgrade its staff to better anticipate and mitigate systemic risks. The agency has reorganized into a newly-established Division of Risk, Strategy, and Financial Innovation. The Division was created in September to enhance the agency's capabilities and help identify developing risks and trends in the financial markets.

Have you changed the way you execute risk management and compliance?
The old ways of doing business may not suffice. The SEC's enforcement cases are up substantially and you should expect a more experienced and focused exam staff in the future.

How do you prepare?.With the year long financial crisis abating now is the time to integrate compliance and risk management practices into operational activities.This program will:

  1. Help you focus on what should go right versus what will go wrong,
  2. Show you how to communicate the value proposition of compliance and risk management,
  3. Provide you with new tools to streamline compliance,
  4. Give you new tools to build influence with key decision-makers,
  5. Help you anticipate new regulatory scrutiny and more intrusive audit engagements

Areas Covered in the seminar:

  1. Compliance controls framework,
  2. ZOPA - zone of possible agreement,
  3. Staff development,
  4. Banana Peel
  • Why management is resistant to compliance and risk initiatives?
  • What should you anticipate in new SEC exams?
  • How do you do more with less and improve compliance?
  • Building the value proposition in operational excellence.
  • Improved communication of compliance and risk issues.
  • Strategically position compliance and risk management.

Who will benefit:
This webinar will provide valuable assistance to all regulated companies that need to enhance their compliance and risk management programs in anticipation of higher regulatory oversight and increased audit pressure.

  • Compliance professionals
  • Operational Risk professionals
  • Operational line management
  • Senior executives
  • Audit professionals
  • Information Technology professionals

Instructor Profile:
James Bone, is the founder of Global Compliance Associates, LLC, a consulting firm that specialized in operational risk management, compliance internal controls, risk frameworks, and information technology risk management best practices. James is a contributing writer for Compliance Week, Corporate Compliance Insights, and contributes to publications specializing in Governance, Risk, & Compliance. James has over 20+ years experience in financial services with firms such as Merrill Lynch and Fidelity Investments.

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