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Compliance Management by Design, New York

2019-11-12 All day

About the workshop

Compliance is not easy. Organizations across industries have global clients, partners, and business operations. The larger the organisation the more complex its operations. Adding to the complexity of global business, today’s organisation is dynamic and constantly changing. 

The modern organisation changes by the minute. New employees come, others leave, roles change. New business partner relationships are established, others 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, geo-political, operational), impacting how business is conducted. 

Join us for a full day workshop led by GRC expert Michael Rasmussen in NYC where we will:

  • Understand a top-down as well as a bottom-up approach to compliance management
  • Implement compliance management in the context of business strategies, processes, 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 organisations 

Agenda

Tuesday 12th of November 2019

08:30 – 09:00 Breakfast

09:00 – 11:00 – Compliance Management by Design
Why Compliance Management Matters

  • Compliance in Disarray: how organizations mismanage compliance 
  • Compliance Exposure: how mismanaged compliance expose the organization to risk 
  • Current drivers & trends pressuring organizations in compliance management 
  • Different ways organizations approach compliance management 
  • What Effective Compliance Management Achieves: Compliance role in governance, risk management, and compliance 

11:00 – 11:15 Coffee break

11:15 – 12:30 – Compliance Governance
Blueprint for Effective Compliance Management

  • Compliance Governance Committee: bringing together the range of compliance management roles and responsibilities in the organization 
  • Compliance Management Charter: defining a structure to govern compliance across the organization 
  • How to Develop a Compliance Management Strategic Plan 

12:30 – 13:00 Lunch break

13:00 – 15:00 – Compliance Management Lifecycle
Managing Compliance in Context of Business and Regulatory Change

  • Compliance obligation identification 
  • Ongoing compliance and business context monitoring 
  • Compliance communications & attestations 
  • Compliance monitoring & assessment 
  • Compliance forms & approvals 
  • Compliance metrics & reporting 
  • Compliance evaluation, benchmarking & assurance 

15:00 – 15:15 – Coffee break

15:15 – 16:00 – Compliance Management Architecture
Enabling Information & Technology Management for Compliance Management

  • Compliance Management Information Architecture: Blueprint for Managing Compliance Content and Related Data 
    • Types of compliance management information and how it integrates into compliance processes 
    • Components and requirements for a compliance information architecture 
  • Compliance Management Technology Architecture: Blueprint for Enabling Compliance Management Processes with Technology 
    • Kinds of compliance management technologies and what best serves the organization 
    • Capabilities and requirements of compliance management platforms 
  • Compliance Management Business Case: Articulating the Value of Effective Compliance Management 

16:00 – 17:00 – Networking and drinksRe

You will take back to your organisation approaches to address:

  • Effectively manage compliance
  • Understand the challenges and pitfalls of managing compliance
  • Achieve success capitalising on agility while maintaining compliance
  • Facilitate ongoing monitoring of compliance
  • Define a 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 the effectiveness or compliance management
  • Identify and resolve compliance issues 

Instructor

Michael 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 23+ 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 Sponsor

ClauseMatch is a regulatory technology company that enables financial institutions to streamline regulatory change management through effective organization of internal policies, standards, procedures, and controls. ClauseMatch brings an 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.

ClauseMatch

www.clausematch.com

New York City

To Be Determined
New York, NY United States
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