Developing and Implementing an Effective Regulatory Tracking Process

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

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.

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