This month’s feature Podcast is Elizabeth Cope’s “How to Master the Annual Review and Promote a Culture of Compliance“
Join us as we demystify the Annual Review process.
“How to Master the Annual Review and Promote a Culture of Compliance“ is Part 1 of a 3-part series where you will learn how to develop an annual review to work for you instead of against you, how to make it realistic to implement and manage and how to make is support the operations and ever-changing needs of your firm, as opposed to being just another thing you have to do to meet regulatory requirements. This series will cover, step by step, how to develop your risk assessment, how to decide what needs to be tested, how to schedule when the testing occurs, how to document your testing and how to present that documentation to the regulators.
You can listen and subscribe at the following podcast networks. We look forward to your comments and reviews!