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Compliance Management by Design – Charlotte

April 26 @ 12:00 pm 6:00 pm Americas/New York

Blueprint for an Effective, Efficient & Agile Compliance Management Program

Compliance is not easy. Organizations across industries have global clients, partners, and business operations. The larger the organization the more complex its operations. Complicating matters, today’s organization is dynamic and constantly changing. The modern organization adjusts by the minute. New employees come, others leave, roles change. New business-partner relationships are established, others are terminated. The business enters new markets, opens new facilities, contracts with agents, or introduces new products. New laws are introduced, regulations change, the risk environment shifts (e.g., economic, geopolitical, operational), impacting how business is conducted. 

The dynamic and global nature of business is particularly challenging to compliance management. What may seem insignificant in one area can have a profound impact on others. Compliance obligations and ethical risk are like the hydra in mythology—organizations combat risk, only to find more risk springing up. Executives react to changing compliance requirements and fluctuating legal and ethical exposures, yet fail to actively manage and understand the interrelationship of risk and compliance. 

To maintain compliance and mitigate risk exposure, an organization must stay on top of changing regulatory requirements, as well as a changing business environment, and ensure those changes are in sync. Demands from governments, the public, business partners, and clients require your organization to implement defined compliance practices that are monitored and adapted to the demands of a changing business and regulatory environment. Compliance activities managed in silos often lead to the inevitable failure of an organization’s governance, risk management, and compliance (GRC) program. Reactive, document-centric, siloed information and processes fail to manage compliance, leaving stakeholders blind to the intricate relationships of compliance risk across the business. Management is not thinking about how compliance and risk management processes can provide greater insight. 

This ad hoc approach results in poor visibility across the organization and its control environment. Yesterday’s compliance program no longer works. Boards desire a deeper understanding of how the organization is addressing compliance risk, whether its activities are effective, and how they are enhancing shareholder value. Oversight demands are changing the role of the compliance department to an active, independent program that can manage and monitor compliance risk from the top down. 

The breadth and depth of compliance risk bearing down on companies today require a robust compliance program operating in the context of integrated enterprise risk management. This workshop aims to provide a blueprint for effective compliance management in a dynamic business, regulatory, and risk environment. Attendees will learn compliance management governance and processes that can be applied across the organization at either an enterprise or a department level. Learning is done through lectures, collaboration with peers, and workshop tasks. 

After the workshop, you’ll take back new approaches to: 

  • Effectively manage compliance 
  • Understand the challenges and pitfalls of managing compliance 
  • Achieve success capitalizing on agility while maintaining compliance 
  • Facilitate ongoing monitoring of compliance 
  • Define compliance management lifecycle for managing and monitoring compliance 
  • Establish compliance management ownership and accountability 
  • Provide compliance management process consistency 
  • Communicate effectively with employees and stakeholders on matters of compliance 
  • Track critical compliance workflow and tasks 
  • Deliver effective compliance governance and assurance to the board of directors, regulators, and stakeholders 
  • Monitor metrics to establish effectiveness or compliance management 
  • Identify and resolve compliance issues

Location

Join us for a half-day lunch workshop led by GRC expert Michael Rasmussen at Topgolf in Charlotte. We will explore how to develop an effective compliance management program in a dynamic business, regulatory, and risk environment. After the workshop, you’ll have the opportunity to network with industry peers and test your skills at Topgolf.

  • Topgolf, 8024 Savoy Corporate Drive, Charlotte, NC 28273

Agenda:

12:00 PM – 12:30 PM

Check-in and lunch

12:30 PM – 2:00 PM

Compliance Management Discussion

Part 1: Why Compliance Management Matters

Part 2: Compliance Governance Blueprint for Effective Compliance Management

2:00 PM – 2:15 PM

Break

2:15 PM – 4:00 PM

Compliance Management Discussion

Part 3: Compliance Management Lifecycle Managing Compliance in Context of Business and Regulatory Change

Part 4: Compliance Management Architecture Enabling Information & Technology Management for Compliance Management

4:00 PM – 6:00 PM

Test your skills at Topgolf

Benefits to attendees:

  • Understand a top-down as well as a bottom-up approach to compliance management
  • Implementcompliance management in the context of business strategy, process, and operations
  • Explore compliance management architecture models and how they apply to your organization
  • Discover various compliance assessment and monitoring techniques and how they apply to your business
  • Develop a compliance information architecture that aligns with business operations and processes
  • Effectively communicate and gather attestation on compliance across your organizations

Who should attend?

  • Ethics & Compliance Professionals
  • Risk Management Professionals
  • IT Security Professionals
  • Legal Professionals
  • Environmental, Health & Safety Professionals
  • Corporate Social Responsibility & Accountability Professionals
  • Audit Professionals
  • Individuals with compliance management, ownership, or oversight responsibilities

GRC 20/20 Workshop Instructor

Michael Rasmussen

GRC 20/20 ResearchMichael Rasmussen – The GRC Pundit @ GRC 20/20 Research, Michael Rasmussen is an internationally recognized pundit on governance, risk management, and compliance (GRC) – with specific expertise on the topics of GRC strategy, process, information, and technology architectures and solutions. With 28+ years of experience, Michael helps organizations improve GRC processes, design and implement GRC architectures and select solutions that are effective, efficient, and agile. He is a sought-after keynote speaker, author, and advisor and is noted as the “Father of GRC” – being the first to define and model the GRC market in February 2002 while at Forrester Research, Inc.

Workshop Host & Sponsor

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ClauseMatch is a regulatory technology company that enables financial institutions to streamline regulatory change management through the effective organization of internal policies, standards, procedures, and controls. ClauseMatch brings unprecedented productivity for Compliance, Legal, Finance, Operations, and Risk teams saving millions in terms of time and resources, while significantly reducing risk and providing accountability. Institutions benefit from better enterprise governance and proactive regulatory risk mitigation through a 360 degree live view into its current state of compliance with regulatory obligations, further enabling streamlining impact assessment and implementation of existing and future regulations.

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