ComplianceOnline

"Implementing an Effective Regulatory and Policy Change Management Process" - This course is approved by NASBA (National Association of State Boards of Accountancy). Seminar attendees are eligible for 16.5 CPE credits upon completion of this workshop.

In this two day workshop we will review regulatory compliance requirements and Policy Management. The course will focus on the design of the risk management, standard operating procedures (SOPs) and entities subject to corporate governance, development of regulatory change management methodology, development of procedures/tools for legislative and regulatory tracking, and implementation of the policy database. Additionally, we will review corporate vision, mission, principles and values.

The first day will cover how to create a regulatory intelligence strategy and process that monitors regulatory changes, and the second day of the conference will help attendees understand how to implement and effectively manage policies of an organization.

Day 1 - Regulatory Change Management

Regulatory change management needs to be supported by a well-designed and properly implemented process that ensures legislative and regulatory changes impacting your business, are captured, analyzed and, where applicable, embedded into company policies and procedures. Companies that do not have adequate processes in place to monitor regulatory change, determine impact on business processes, prioritize, and make changes to policies and procedures may suffer significant consequences. An effective and efficient workflow needs to be in place so that organizations are not overwhelmed by data obtained through legal and regulatory subscription services, websites, e-mails, and content aggregators.

This workshop will prepare participants to build a legislative and regulatory tracking process that monitors regulatory change, measures impact on business operations, and ensures the implementation of appropriate policy, training, and control updates.

Day 2 - Effective Policy Management

Policies & procedures must be in place to communicate to staff how the job should be done and to ensure the firm operates consistently and within approved risk appetite limits. They are also necessary to uphold the values established by the governing body, and to protect the firm against the actions of rogue employees. To develop effective policies and to manage and communicate them efficiently, organizations need well-designed processes and supporting technology to manage the Policy lifecycle. Ever-changing regulatory requirements, a complex business environment, and the increasing threat of conduct risk, require the implementation of an effective and efficient policy management system.

This workshop will allow participants to learn how to implement an effective and sustainable policy and procedure management process within their organizations.

Learning Objectives:

Upon completing the first day of this workshop, participants will be able to:

  • Develop a legislative and regulatory tracking program
  • Develop a regulatory classification process mapped to your organization’s enterprise risk taxonomy
  • Design a regulatory change management workflow covering all steps from identification to final implementation
  • Understand roles and responsibilities in the regulatory change management workflow
  • Conduct a business impact analysis to understand regulatory change impact on your business
  • Map regulations to policies so that you know what policies to review when regulations change
  • Develop an effective communication and training programs to ensure impacted associates are current with regulatory change
  • Track and report action plans to ensure that changes have been made to policies and standard operating procedures

Completion of the workshop’s second day will prepare participants to:

  • Understand corporate mission, vision, principles and values
  • Design a process lifecycle for developing and managing company policies and procedures
  • Develop an effective approach to policy issuance and maintenance
  • Understand the purpose of principles, policies, guidelines and procedures
  • Establish policy ownership and accountability
  • Provide consistency in policies through consistent style and language
  • Communicate policies and train staff on their application
  • Obtain evidence that new policies and significant changes have been properly implemented
  • Monitor indicators to establish effectiveness and/or issues with policies
Seminar Fee Includes:
Lunch
AM-PM Tea/Coffee
Seminar Material
USB with seminar presentation
Hard copy of presentation
Attendance Certificate
$100 Gift Cert for next seminar

Who Will Benefit:

  • Risk Officers
  • Compliance Officers
  • Internal and External Auditors
  • Financial Controllers
  • Operations Managers
  • Information Technology Managers
  • Business Analysts
  • Corporate Secretaries

We are registered with and adhere to the Statement on Standards for Continuing Professional Education programs of the National Registry of CPE Sponsors. Our registration number is 109066. Please check with the governing body of your license and state for specific CPE requirements. Grievances may be forwarded to the company at 650 620 3961. Grievances may also be forwarded to the National Registry of CPE Sponsors-NASBA, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417, 615-880-4200, www.learningmarket.org, e-mail cpe@nasba.org.

Field of Study:
  • Administrative Practice: 2.4 CPE Credits
  • Auditing: 1.2 CPE Credits
  • Business Management & Organization: 4.2 CPE Credits
  • Communications: 4.5 CPE Credits
  • Computer Science: 1.8 CPE Credits
  • Specialized Knowledge and Applications: 2.4 CPE Credits
  • Total CPE credits earned in this workshop: 16.5 CPE Credits

Program Delivery Method: Group-Live
Program Level: Intermediate
Advance Preparation/Program Prerequisites: Basic knowledge of internal control and regulatory compliance programs.

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Day 01(8:30 AM - 4:30 PM)
  • Day 1 – Regulatory Change Management
  • 8:30 to 9:00 AM: Breakfast & Introductions
  • 9:00 - 10:15 AM
    • Current Regulatory Environment
    • How to Develop a Legislative/Regulatory Tracking Program
    • Regulatory Change Management Workflow
    • Roles and Responsibilities
  • 10:15 - 10:30 AM: Coffee Break
  • 10:30 AM- 12:00 PM
    • Information Architecture of Regulatory Change Program
    • Technology Support
    • Regulatory Classification Process
    • Mapping to Enterprise Risk Taxonomy
  • 12:00 - 1:00 PM: Lunch
  • 1:00 – 2:30 PM
    • Business Impact Analysis
    • Mapping Regulations to Policies and Procedures
    • Action Plan Tracking and Reporting
    • Communication and Training Programs
  • 2:30 – 2:45 PM: Coffee Break
  • 2:45- 4:30 PM
    • Implementation
    • Regulatory Requirements and Risk and Control Self-Assessment
    • Key Compliance Indicators
    • Feedback and Evaluation
Day 02(8:30 AM - 4:30 PM)
  • Day 2 - Effective Policy Management
  • 8:00 to 8:30 AM: Breakfast and Introductions
  • 8:30 - 10:15 AM
    • Corporate Governance, Mission and Vision
    • Principles, Values, Policies, Guidelines and Procedures
    • Policy Management Lifecycle
    • Roles & Responsibilities
  • 10:15 - 10:30 AM: Coffee Break
  • 10:30 AM- 12:00 PM
    • Policy Design and Implementation
    • Policy Ownership and Accountability
    • Policy Management
  • 12:00 - 1:00 PM: Lunch<
  • 1:00 – 2:30 PM
    • Technology Support of Policy Management
    • Effective Communication & Training
    • Evidence of Proper Implementation
  • 2:30 – 2:45 PM: Coffee Break
  • 3:15 - 4:30 PM
    • Relationship of Policies to Other Areas of GRC
    • Exception Approval Process
    • Key Indicators
    • Annual Attestation
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Mario Mosse

Mario Mosse
President of MMosse Consulting, LLC

Mario Mosse has over 40 years of experience in operational risk management, internal audit and regulatory compliance at financial services companies. He is the president of MMosse Consulting, LLC, where he provides risk management advice and training to the financial services industry. Previously, he was the head of operational risk management at Prudential Financial, Inc. Prior to joining Prudential, Mr. Mosse was with The Chase Manhattan Bank, where he held several senior positions in internal audit and risk management.

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$1,299.00

Seminar One Registration

April 6-7, 2017, New York, NY
(For Registrations till January 20, 2017 - $1299)
(For Registrations till February 15, 2017 - $1399)
(For Registrations till March 20, 2017 - $1499)
(For Registrations after March 20, 2017 - $1699)

$1,799.00

Seminar One Registration (With 2 Nights Stay)

April 6-7, 2017, New York, NY

$5,999.00
$7,794.00 (23%)*

Save $1,795.00

Special Group Discount Register for Six attendees

April 6-7, 2017, New York, NY
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Your registration fee includes the workshop, all course materials and lunch.


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Your registration for the seminar is subject to following terms and conditions. If you need any clarification before registering for this seminar please call us @ +1-888-717-2436 or email us @ customercare@complianceonline.com

Payment:
Payment is required 2 days before the date of the conference. We accept American Express, Visa and MasterCard. Make checks payable to MetricStream Inc. (our parent company).

Cancellations and substitutions:
Written cancellations through fax or email (from the person who has registered for this conference) received at least 10 calendar days prior to the start date of the event will receive a refund - less a $300 administration fee. No cancellations will be accepted - nor refunds issued - within 10 calendar days before the start date of the event.

On request by email or fax (before the seminar) a credit for the amount paid minus administration fees ($300) will be transferred to any future ComplianceOnline event and a credit note will be issued.

Substitutions may be made at any time. No-shows will be charged the full amount.

We discourage onsite registrations, however if you wish to register onsite, payment to happen through credit card immediately or check to be submitted onsite. Conference material will be given on the spot if it is available after distributing to other attendees. In case it is not available, we will send the material after the conference is over.

In the event ComplianceOnline cancels the seminar, ComplianceOnline is not responsible for any airfare, hotel, other costs or losses incurred by registrants. Some topics and speakers may be subject to change without notice.

Attendance confirmation and documents to carry to the seminar venue:
After we receive the payment from the registered attendee, an electronic event pass will be sent to the email address associated with the registrant 5 working days before the seminar date. Please bring the pass to the venue of the event.

Conference photograph / video:
By registering and attending ComplianceOnline conference, you agree to have your photographs or videos taken at the conference venue and you do not have any objections to ComplianceOnline using these photos and videos for marketing, archiving or any other conference related activities. You agree to release ComplianceOnline from any kind of claims arising out of copyright or privacy violations.

Location:

New York, NY
(Venue to be announced shortly)

April 6-7, 2017

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If you wish to partner with us for this event please contact us: partner@complianceonline.com or call us: +1-888-717-2436.

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If you wish to sponsor this event please contact Cruise Webster: cwebster@complianceonline.com or call us: (207) 576-4173

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Bryant Park is a small but pleasant park located next to the NY Public Library and surrounded by interesting architecture such as the historic Bryant Park Hotel and the modern Bank of America Building.

Central Park

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Central Park was the first large city park in the United States. The design by Olmsted and Vaux has been copied all over the world. Originally situated in a sparsely populated area, the park is now surrounded by highrises.

Coney Island

Coney Island

Coney Island is a seaside resort in Brooklyn famous for its historic Ferris Wheel and roller coaster, the Cyclone. Long past its heyday, it is still a popular tourist attraction.

Ellis Island

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Now home to the immigration museum, Ellis Island was the immigrant gateway to America. More than 12 million people arrived here on the way to their new life in a new country.

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Not as famous as its Brooklyn namesake, this plaza sits at the edge of Central Park. The square features a large gilded statue of general William Sherman as well as the Pulitzer fountain.

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Lincoln Center is a large complex devoted to music, dance, and theater. The most famous building at the center is the Metropolitan Opera House, designed by Wallace K. Harrison.

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This posh, mostly residential street is lined with many historic buildings like the Waldorf Astoria Hotel, Lever House, Helmsley Building, Seagram Building and Ritz Tower.

Roosevelt Island

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Situated on the East River between Manhattan and Queens, Roosevelt Island is best known for its hospitals and asylums that have been here since the 1800s. The island can be reached by an aerial tram.

St. Patrick's Cathedral

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Completed in 1900, this neo-Gothic masterpiece is the country's largest roman catholic cathedral. It is located at Fifth Avenue near Rockefeller Center, now a posh area but at the time of construction well out of the city center.

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Times Square, the most bustling square of New York is known for its many Broadway theatres, cinemas and electronic billboards. It is one of those places that make New York a city that never sleeps.

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Washington square park, located in Greenwich village, was created in 1826. The main attraction of the park is the Washington Arch, constructed for the centennial of President Washington's inauguration.

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