Developing and Implementing an Effective Regulatory Tracking Process

Instructor: Mario Mosse
Product ID: 705993
  • 25
  • September 2019
    Wednesday
  • 11:00 AM PDT | 02:00 PM EDT
    Duration: 90 Min
This webinar 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.

Live Online Training
September 25, Wednesday 11:00 AM PDT | 02:00 PM EDT | Duration: 90 Min

$199.00
One Dial-in One Attendee
$449.00
Group-Max. 10 Attendees/Location
(For Multiple Locations Contact Customer Care)
Super Deal - Get CD/USB Drive Free!

recorded version

$249.00
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 48 hrs after completion of Live training

Training CD / USB Drive

$299.00
One CD/USB is for usage in one location only.
(For multiple locations contact Customer Care)
CD/USB and Ref. material will be shipped within 15 business days after completion of Live training

Combo Offers

Live + Recorded Version

$349.00

Live + Training CD/USB

$399.00

Customer Care

Fax: +1-650-362-2367

Email: customercare@complianceonline.com

Read Frequently Asked Questions

Why Should You Attend:

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.

Upon attending the webinar, participants will have a solid understanding of how to accomplish the following:

  • 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

Areas Covered in the Webinar:

  • Regulatory Compliance
  • Risk Management
  • Corporate Governance
  • Policy Management
  • Regulatory Change Management
  • Legislative and Regulatory Tracking
  • Corporate Vision, Mission, Principles and Values
  • Standard Operating Procedures
  • Policy Database

Who Will Benefit:

  • Risk Officers
  • Internal and External Auditors
  • Project Managers
  • Examiners
  • Compliance Officers
  • Internal Control Officers
  • Financial Controllers
  • Operations Managers
  • Information Technology Managers
  • Business Analysts
  • Corporate Secretaries
Instructor Profile:
Mario Mosse

Mario Mosse
President, MMosse Consulting LLC

Mario Mosse has 40 years of experience in enterprise 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. Recent activities include the development and delivery of several seminars and webinars on various risk management and compliance topics to risk professionals in the United States and Latin America.

Previously, he was the head of Operational Risk Management at Prudential Financial, Inc. Prior to joining Prudential, Mosse was with The Chase Manhattan Bank, where he held several senior positions in Risk Management and Internal Audit, including Chief Risk Officer for the Corporate Finance Sector and South America Regional Audit Executive.

Mosse has extensive knowledge of U.S. and international financial services and products, including retail and corporate banking, securities brokerage, investment banking, asset management, and life insurance. He also has in-depth knowledge of risk management and internal control frameworks such as Basel II and III, Solvency II and COSO, including new product development, risk and control self-assessment, key risk indicators, loss event data capture and analysis, capital allocation and control issue tracking and reporting.

Follow us :
Internal Audit, Fraud Risk Assessment and Risk Management Annual Plan
Regulatory and Policy Change Management Process

Refund Policy

Registrants may cancel up to two working days prior to the course start date and will receive a letter of credit to be used towards a future course up to one year from date of issuance. ComplianceOnline would process/provide refund if the Live Webinar has been cancelled. The attendee could choose between the recorded version of the webinar or refund for any cancelled webinar. Refunds will not be given to participants who do not show up for the webinar. On-Demand Recordings can be requested in exchange.

Webinar may be cancelled due to lack of enrolment or unavoidable factors. Registrants will be notified 24hours in advance if a cancellation occurs. Substitutions can happen any time.

If you have any concern about the content of the webinar and not satisfied please contact us at below email or by call mentioning your feedback for resolution of the matter.

We respect feedback/opinions of our customers which enables us to improve our products and services. To contact us please email customercare@complianceonline.com call +1-888-717-2436 (Toll Free).

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