Best Practices in Building a Global Compliance Program
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The document outlines a webinar on best practices for building a global compliance program, featuring a panel of experts from financial services. It discusses current challenges in standardization, communication, and technology, and emphasizes the importance of clear policies and departmental engagement. The agenda includes organizational frameworks, leading practices, and a Q&A session.
Best Practices in Building a Global Compliance Program
- 1. www.nicsa.org | #WebinarWednesdayswww.nicsa.org | #WebinarWednesdays Best Practices in Building a Global Compliance Program December 19, 2018 www.nicsa.org | #WebinarWednesdays
- 2. www.nicsa.org | #WebinarWednesdayswww.nicsa.org | #WebinarWednesdays Moderator: Panelists: Diana Hanlin Citi - Senior Vice President, Compliance Mark Trenchard Putnam Investments - Director of Operational Compliance Stephanie Tyler Franklin Templeton Investor Services, LLC – Manager, US Transfer Agent Global Risk & Control Compliance Nick D’Angelo Director – PwC - Financial Services and Asset and Wealth Management practice
- 3. www.nicsa.org | #WebinarWednesdayswww.nicsa.org | #WebinarWednesdays Today’s agenda • Challenges in the current environment • Organizational programs and frameworks • Leading practices • Closing thoughts • Questions
- 4. www.nicsa.org | #WebinarWednesdayswww.nicsa.org | #WebinarWednesdays Challenges • Standardization – contractual agreements/practices • Communication • Different jurisdictions • Service providers / Third-parties • Human capital • Technology
- 5. www.nicsa.org | #WebinarWednesdayswww.nicsa.org | #WebinarWednesdays Organizational practices and leading practices Global compliance function A 1 Geography/Market Function/Area B C 2 3 • Assess where you are; • Analyze existing documents; • Keep policies short and in plain language; • Create policies/handbooks on major topics; • Engage departments beyond legal/compliance group; • Training
- 6. Q&AQUESTIONS & ANSWERS SESSION www.nicsa.org | #WebinarWednesdays