Implementing an Effective Regulatory and Policy Change Management Process: 2-Day Workshop

By: Mario Mosse, President of MMosse Consulting, LLC
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“Implementing an Effective Regulatory and Policy Change Management Process” – This course is approved by NASBA (National Association of State Boards of Accountancy). Seminar attendees are eligible for 16.5 CPE credits upon completion of this workshop.

Course Description:

In this two day workshop we will review regulatory compliance requirements and Policy Management. The course will focus on the design of the risk management, standard operating procedures (SOPs) and entities subject to corporate governance, development of regulatory change management methodology, development of procedures/tools for legislative and regulatory tracking, and implementation of the policy database. Additionally, we will review corporate vision, mission, principles and values.

The first day will cover how to create a regulatory intelligence strategy and process that monitors regulatory changes, and the second day of the conference will help attendees understand how to implement and effectively manage policies of an organization.

Day 1 – Regulatory Change Management

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.

This workshop will prepare participants 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.

Day 2 – Effective Policy Management

Policies & procedures must be in place to communicate to staff how the job should be done and to ensure the firm operates consistently and within approved risk appetite limits. They are also necessary to uphold the values established by the governing body, and to protect the firm against the actions of rogue employees. To develop effective policies and to manage and communicate them efficiently, organizations need well-designed processes and supporting technology to manage the Policy lifecycle. Ever-changing regulatory requirements, a complex business environment, and the increasing threat of conduct risk, require the implementation of an effective and efficient policy management system.

This workshop will allow participants to learn how to implement an effective and sustainable policy and procedure management process within their organizations.

Learning Objectives:

Upon completing the first day of this workshop, participants will be able to:

  • 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

Completion of the workshop’s second day will prepare participants to:

  • Understand corporate mission, vision, principles and values
  • Design a process lifecycle for developing and managing company policies and procedures
  • Develop an effective approach to policy issuance and maintenance
  • Understand the purpose of principles, policies, guidelines and procedures
  • Establish policy ownership and accountability
  • Provide consistency in policies through consistent style and language
  • Communicate policies and train staff on their application
  • Obtain evidence that new policies and significant changes have been properly implemented
  • Monitor indicators to establish effectiveness and/or issues with policies

Who will Benefit:

  • Risk Officers
  • Compliance Officers
  • Internal and External Auditors
  • Financial Controllers
  • Operations Managers
  • Information Technology Managers
  • Business Analysts
  • Corporate Secretaries

CPE-GRC

We are registered with and adhere to the Statement on Standards for Continuing Professional Education programs of the National Registry of CPE Sponsors. Our registration number is 109066. Please check with the governing body of your license and state for specific CPE requirements. Grievances may be forwarded to the company at 650 620 3961. Grievances may also be forwarded to the National Registry of CPE Sponsors-NASBA, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417, 615-880-4200, www.learningmarket.org, e-mail cpe@nasba.org.

Field of Study:

  • Administrative Practice: 2.4 CPE Credits
  • Auditing: 1.2 CPE Credits
  • Business Management & Organization: 4.2 CPE Credits
  • Communications: 4.5 CPE Credits
  • Computer Science: 1.8 CPE Credits
  • Specialized Knowledge and Applications: 2.4 CPE Credits
  • Total CPE credits earned in this workshop: 16.5 CPE Credits

Program Delivery Method: Group-Live
Program Level: Intermediate
Advance Preparation/Program Prerequisites: Basic knowledge of internal control and regulatory compliance programs.

Course Outline

Day One (8:30 AM – 4:30 PM)
  • Day 1 – Regulatory Change Management
  • 8:30 to 9:00 AM: Breakfast & Introductions
  • 9:00 - 10:15 AM
    • Current Regulatory Environment
    • How to Develop a Legislative/Regulatory Tracking Program
    • Regulatory Change Management Workflow
    • Roles and Responsibilities
  • 10:15 - 10:30 AM: Coffee Break
  • 10:30 AM- 12:00 PM
    • Information Architecture of Regulatory Change Program
    • Technology Support
    • Regulatory Classification Process
    • Mapping to Enterprise Risk Taxonomy
  • 12:00 - 1:00 PM: Lunch
  • 1:00 – 2:30 PM
    • Business Impact Analysis
    • Mapping Regulations to Policies and Procedures
    • Action Plan Tracking and Reporting
    • Communication and Training Programs
  • 2:30 – 2:45 PM: Coffee Break
  • 2:45- 4:30 PM
    • Implementation
    • Regulatory Requirements and Risk and Control Self-Assessment
    • Key Compliance Indicators
    • Feedback and Evaluation
  • Day Two (8:30 AM – 4:30 PM)
  • Day 2 - Effective Policy Management
  • 8:00 to 8:30 AM: Breakfast and Introductions
  • 8:30 - 10:15 AM
    • Corporate Governance, Mission and Vision
    • Principles, Values, Policies, Guidelines and Procedures
    • Policy Management Lifecycle
    • Roles & Responsibilities
  • 10:15 - 10:30 AM: Coffee Break
  • 10:30 AM- 12:00 PM
    • Policy Design and Implementation
    • Policy Ownership and Accountability
    • Policy Management
  • 12:00 - 1:00 PM: Lunch<
  • 1:00 – 2:30 PM
    • Technology Support of Policy Management
    • Effective Communication & Training
    • Evidence of Proper Implementation
  • 2:30 – 2:45 PM: Coffee Break
  • 3:15 - 4:30 PM
    • Relationship of Policies to Other Areas of GRC
    • Exception Approval Process
    • Key Indicators
    • Annual Attestation
  • Meet Your Instructor

    Behnam Davani
    Mario Mosse
    President of MMosse Consulting, LLC

    Mario Mosse has over 40 years of experience in operational 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. Previously, he was the head of operational risk management at Prudential Financial, Inc. Prior to joining Prudential, Mr. Mosse was with The Chase Manhattan Bank, where he held several senior positions in internal audit and risk management.

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