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Compliance Boot Camp

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FIRMA COMPLIANCE “BOOT CAMP” DUANE E. LEE, II EXECUTIVE VICE PRESIDENT CANNON FINANCIAL INSTITUTE
What is a “Boot Camp” ,[object Object]
BUY THIS BOOK (Create your own Compliance Library) Integrated Compliance & Total Risk Management Mark G. Arthus
SOURCE MATERIALS (Create your own Compliance Library) ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
SOURCE MATERIALS (Create your own Compliance Library) ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
SOURCE MATERIALS (Create your own Compliance Library) ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
PURPOSE/DEFINITION ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
TYPE OF PROGRAM NEEDED ,[object Object],[object Object],[object Object],[object Object]
DEVELOPING AN INTEGRATED TEAM ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
10 KEY ELEMENTS OF AN EFFECTIVE COMPLIANCE PROGRAM ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Introduction and Purpose ,[object Object],[object Object],[object Object],[object Object]
Discharging Director’s Duties ,[object Object],[object Object],[object Object],[object Object]
Discharging Director’s Duties ,[object Object],[object Object]
Discharging Director’s Duties ,[object Object],[object Object],[object Object],[object Object]
Discharging Director’s Duties ,[object Object],[object Object],[object Object]
Trust Department Policies and Procedures ,[object Object],[object Object]
Trust Department Policies and Procedures ,[object Object],[object Object]
Trust Department Policies and Procedures ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Trust Department Policies and Procedures ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Trust Department Policies and Procedures ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
REGULATORY RISK CATAGORIES & SUB-CATAGORIES ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
REGULATORY RISK CATAGORIES & SUB-CATAGORIES ,[object Object],[object Object],[object Object],[object Object],[object Object]
7 Key Lessons of Effective Risk Management ,[object Object],[object Object],[object Object],[object Object]
7 Key Lessons of Effective Risk Management ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
7 Key Lessons of Effective Risk Management ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
7 Key Lessons of Effective Risk Management ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],Lesson 4- Monitor cash (funds) “ Cash is king. Accounting is opinion.”
7 Key Lessons of Effective Risk Management ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
7 Key Lessons of Effective Risk Management ,[object Object],[object Object],[object Object],[object Object]
7 Key Lessons of Effective Risk Management ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],Lesson 7 - Take a balanced approach.
Trust Department Audits ,[object Object],[object Object],[object Object],[object Object],[object Object]
Compliance Management ,[object Object],[object Object],[object Object],[object Object]
Risk Management ,[object Object],[object Object],[object Object]
Internal Controls ,[object Object],[object Object],[object Object]
Common Problems ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Source of Problems ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Types of Problems ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Common Problems and Resulting Risk to an Organization ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Compliance ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Compliance ,[object Object],[object Object],[object Object]
7 Most Common and Serious Problems ,[object Object]
7 Most Common and Serious Problems ,[object Object],[object Object],[object Object],[object Object],[object Object]
7 Most Common and Serious Problems ,[object Object],[object Object],[object Object],[object Object],[object Object]
7 Most Common and Serious Problems ,[object Object],[object Object],[object Object]
7 Most Common and Serious Problems ,[object Object],[object Object],[object Object],[object Object]
7 Most Common and Serious Problems ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
7 Most Common and Serious Problems ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
7 Most Common and Serious Problems ,[object Object],[object Object],[object Object],[object Object],[object Object]
7 Most Common and Serious Problems ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Definition of Risk ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Definition of Risk ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Compliance Validation Program ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Twelve Point Risk Oriented Compliance Validation ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Twelve Point Risk Oriented Compliance Validation ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
5 Basic Requirements of an Integrated Compliance and Risk Management Program ,[object Object],[object Object],[object Object],[object Object],[object Object]
8 Components of an Integrated Compliance and Risk Management Program ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
8 Components of an Integrated Compliance and Risk Management Program ,[object Object],[object Object],[object Object],[object Object],[object Object]
8 Components of an Integrated Compliance and Risk Management Program ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
8 Components of an Integrated Compliance and Risk Management Program ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
8 Components of an Integrated Compliance and Risk Management Program ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
VALIDATION PROCESS ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
8 Components of an Integrated Compliance and Risk Management Program ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
8 Components of an Integrated Compliance and Risk Management Program ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
8 Components of an Integrated Compliance and Risk Management Program ,[object Object],[object Object],[object Object],[object Object],[object Object]
8 Components of an Integrated Compliance and Risk Management Program ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
8 Components of an Integrated Compliance and Risk Management Program ,[object Object],[object Object],[object Object],[object Object],[object Object]
Developing a Risk-Based Compliance Team ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Developing a Risk-Based Compliance Team ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Developing a Risk-Based Compliance Team ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Developing a Risk-Based Compliance Team ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Developing a Risk-Based Compliance Team ,[object Object],[object Object],[object Object],[object Object],[object Object]
Developing a Risk-Based Compliance Team ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Developing a Risk-Based Compliance Team ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Developing a Risk-Based Compliance Team ,[object Object],[object Object]
Developing a Risk-Based Compliance Team ,[object Object],[object Object]
Common Challenges in Developing an Effective Integrated Compliance and Total Risk Management ,[object Object],[object Object],[object Object],[object Object]
Building an Environment of Effective Compliance ,[object Object],[object Object],[object Object]
CHECKLISTS & QUESTIONAIRES ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
CHECKLISTS & QUESTIONAIRES ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
What is Risk? ,[object Object],[object Object],[object Object]
What is Risk? ,[object Object],[object Object],[object Object],[object Object],[object Object]
What is Risk? ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
What is Risk? ,[object Object],[object Object]
What is Risk? ,[object Object],[object Object],[object Object],[object Object]
What is Risk? ,[object Object],[object Object],[object Object],[object Object],[object Object]
Risk Increasers ,[object Object],[object Object]
Design of Internal Controls ,[object Object],[object Object],[object Object],[object Object],[object Object]
Internal Control Development as it Relates to Risk OBJECTIVE (What do you want to accomplish?) RISK (What can go wrong to prevent you from accomplishing your objectives?) CONTROLS (What can be done to minimize the risks?)
Internal Control Defined ,[object Object],[object Object],[object Object],[object Object],[object Object]
Standards of Internal Control ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
1. Control Environment ,[object Object],[object Object],[object Object],[object Object],[object Object]
2. Risk Assessment ,[object Object],[object Object],[object Object]
3. Control Activities ,[object Object],[object Object],[object Object],[object Object],[object Object]
3. Control Activities ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
4. Information and Communications ,[object Object],[object Object]
4. Information and Communications ,[object Object],[object Object],[object Object]
5. Monitoring ,[object Object],[object Object],[object Object],[object Object]
Internal Control Components
Appendix-Listing Of 15 Primary Internal Controls
Access to Equipment and Data Files ,[object Object],[object Object]
Audit ,[object Object],[object Object]
Authorizations for Intended Actions ,[object Object]
Approvals for Actions Taken ,[object Object]
Commitment to Competence ,[object Object],[object Object]
Communication of the Importance of Internal Controls ,[object Object],[object Object]
Documentation of Workflow ,[object Object],[object Object]
Duplication of Activities ,[object Object],[object Object]
Closure of Identified Problems ,[object Object],[object Object]
Reports ,[object Object],[object Object],[object Object]
Separation of Duties ,[object Object]
Supervision of Critical Activities ,[object Object]
Physical Control and Safe Guards of Assets ,[object Object]
Data Input Controls ,[object Object],[object Object]
Data Output Controls ,[object Object]
The Compliance Officer As a First Class Consultant EXTRA CREDIT
The Compliance Officer as “Consultant to Management” ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
The Roles of Compliance Officers ,[object Object],[object Object],[object Object],[object Object],[object Object]
Compliance Interaction Model (C) Copyright 1994
The Relationship of Role to Other Compliance Elements ,[object Object]
The Role of the Consultant ,[object Object],[object Object],[object Object],[object Object],[object Object]
5 Skills that Make A Good Consultant ,[object Object],[object Object],[object Object]
5 Skills that Make A Good Consultant ,[object Object],[object Object],[object Object],[object Object]
5 Skills that Make A Good Consultant ,[object Object],[object Object],[object Object],[object Object]
5 Skills that Make A Good Consultant ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
5 Skills that Make A Good Consultant ,[object Object],[object Object],[object Object]
Teams and Team Work ,[object Object],[object Object],[object Object],[object Object],[object Object]
Compliance Officers and Teams ,[object Object],[object Object],[object Object],[object Object]
Setting Up a Team - 1 ,[object Object],[object Object],[object Object]
Setting Up a Team - 2 ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Setting Up a Team - 3 ,[object Object],[object Object],[object Object],[object Object],[object Object]
How to Gain these Skills? ,[object Object],[object Object],[object Object],[object Object],[object Object]

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Destaque (16)

Journal of Advances in Pharmacoepidemiology and Drug Safety
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Compliance Boot Camp

  • 1. FIRMA COMPLIANCE “BOOT CAMP” DUANE E. LEE, II EXECUTIVE VICE PRESIDENT CANNON FINANCIAL INSTITUTE
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  • 3. BUY THIS BOOK (Create your own Compliance Library) Integrated Compliance & Total Risk Management Mark G. Arthus
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  • 87. Internal Control Development as it Relates to Risk OBJECTIVE (What do you want to accomplish?) RISK (What can go wrong to prevent you from accomplishing your objectives?) CONTROLS (What can be done to minimize the risks?)
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  • 98. Appendix-Listing Of 15 Primary Internal Controls
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  • 114. The Compliance Officer As a First Class Consultant EXTRA CREDIT
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  • 117. Compliance Interaction Model (C) Copyright 1994
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