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Developing and Implementing an Effective Regulatory Tracking - Webinar

  • ID: 4900027
  • Webinar
  • May 2019
  • Region: Global
  • 90 Minutes
  • Compliance Online
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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
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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.
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