Critical Elements of an Effective CMS
We will discuss critical drivers of an effective, dynamic Compliance Management System, including policies and procedures, risk-based compliance monitoring and audits, and change management. (Rec. 5/5/22)
Recorded: May 5, 2022
Your compliance management system should provide a clear roadmap for the direction, ownership, oversight and management of compliance risk across your organization. A well-structured and effectively executed compliance program paves the way for smooth compliance exams and restful nights...without the need of pharmaceutical sleep aids.
We will discuss critical drivers of an effective, dynamic CMS, including:
- A culture of accountability for compliance established by the Board and Management across the organization
- Policies and procedures
- Well-defined roles and responsibilities for key personnel and committees charged with compliance risk management and oversight
- Robust and meaningful risk assessments
- Risk-based compliance monitoring and audits
- Change management
- Training programs that ensure strong knowledge and understanding of consumer protection regulations, supervisory expectations, industry best practices and emerging risks
- Meaningful reporting to the Board or Audit Committee
- Sample CMS document
- Sample Compliance Risk Assessment
- Sample Compliance Officer Job Description
- Sample Compliance Committee Charter
Your registration includes:
- A copy of the presentation materials
- Unlimited video replay
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If you will have any issues with attending the simulcast, we offer a No Questions Asked Refund Policy any time before the start of a live simulcast.
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