Banking & Financial Services Compliance Management
Banks and financial institutions face increasingly demanding compliance requirements. NAVEX will help your financial services organization anticipate and navigate regulatory changes, manage risk intelligently and harness the competitive advantage of compliance.
Financial Services Compliance Management
As one of the most highly regulated industries, banks and financial services organizations of all sizes are now more concerned than ever about risk and compliance management. Facing the scrutiny of multiple governing bodies – including CFPB, DOJ, FDIC, OTS, OCC, NCUA, SEC and FINRA – FIN SERV organizations spend substantial resources in mitigating risk and complying with a growing list of regulatory and operational compliance requirements. Because these laws and regulations are constantly in flux, the need to educate financial advisors on what has been updated and how it impacts their jobs is ongoing. All of this change management takes valuable time away from focusing on the financial well being of clients.
By consolidating your GRC initiatives onto a scalable cloud-based platform, you can confidently anticipate and navigate regulatory changes, manage risk intelligently and harness the competitive advantage of compliance.
A central repository for policies, accessible by all advisors and audit trails to track who has read and attested to policies.
Effective and engaging training solutions to ensure compliance on and comprehension of important ethics and compliance topics.
An effective third-party monitoring system to ensure that your strategic partners and associates are not putting your firm at risk.
A robust incident management system that can track, investigate and report on all potential incidents of organizational risk.
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