Effective Regulatory Change Management
Presented by Mario Mosse
January 16, 2018 10:00 AM EST - 11:00 AM EST
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.
Why you should attend:
This webinar will help you 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.
Areas to be covered during this session:
• Current Regulatory Environment
• Developing a Legislative/Regulatory Tracking Program
• Regulatory Change Management Workflow
• Roles and Responsibilities
• Design and Automation
• Information Architecture of Regulatory Change Program
• Technology Support
• Regulatory Classification Process
• Mapping to Enterprise Risk Taxonomy
Who should benefit from this session:
Banks; Asset Managers; Broker/Dealers; Insurance Companies and all other financial institutions; Supervisors; Financial Officers; Risk Officers; Internal Auditors; Operational Risk Managers; Internal Auditors; Board members; Compliance Officers; Financial Officers; Internal and External Auditors; Regulators who supervise or examine banks or financial institutions; CFOs (Chief Financial Officers); COO (Chief Operating Officers); CRO (Chief Risk Officers); CIO (Chief Information Officers); CPAs (Certified Public Accountants); CBAs (Chartered Bank Auditors);
PRMIA Risk Leader Members - FREE
PRMIA Sustaining Members - FREE
PRMIA Contributing Members - $35 USD
Non-Members - $75 USD
To register online, click on "Register Now". The fee associated with your membership type will show after you click Register Now.
About the Presenter:
Mario Mosse is the President of MMosse Consulting, LLC, a company that provides risk management advice and training to the financial services industry. Mosse has significant experience in the areas of enterprise risk management, regulatory compliance, internal audit and project management at major financial services companies. He also has extensive knowledge of U.S. and international financial services and products (retail and corporate banking, securities brokerage, investment banking, asset management and life insurance) as well as risk management and internal control frameworks such as Basel III, Solvency II and COSO. Previously, Mosse was with Prudential Financial, Inc. for 18 years where he was in charge of the company’s operational risk management program. Prior to that, he was the Chief Internal Control Officer for Prudential Securities and Vice President, Management internal Control of Prudential Investments.Prior to joining Prudential, Mosse spent 19 years with The Chase Manhattan Bank, N.A. where he was in charge of risk management and compliance for the Corporate Finance Sector, South America Regional Audit Executive, and Vice President, General Auditing.
CRL Credits: 1 hour
Prerequisites: PRMIA webinars require basic financial markets knowledge at the BSc level. PRMIA webinars require a prerequisite knowledge and understanding of banking and finance.
Program level: Intermediate Delivery Method: Group Internet-based