transcript   Transcript

Integrating Automation, Data, and Technology into Your Compliance Program

Recorded on: Dec. 14, 2017
Running Time: 01:06:10

Full Transcript:

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Taken from the One Hour Briefing Recorded December 2017 in New York
Integrating Automation, Data, and Technology into Your Compliance Program [01:06:10]

Regulators and enforcement authorities have made clear that, in order to be credible, compliance programs must integrate automation, data, and technology solutions.  Even setting aside regulators’ expectations, integrating these tools into your compliance program is critical to increasing transparency, optimizing performance and efficiency, and systematically reducing risk.  Moreover, automation, data, and technology competence are an intrinsic expectation of today’s corporate culture and operations:  in order to have a seat at the table of enterprise leadership, a compliance program must demonstrate maturity in these areas. 

But where do you start?  Solution options are complex, numerous, and expensive.  And there is a wide linguistic and conceptual gap between how solutions providers describe their products and the world of daily questions, problems, and execution requirements that compliance professionals live in.   

This presentation is intended to provide attorneys, compliance leaders and professionals, and Information Technology professionals with a practical overview of the issues, opportunities, solutions, and best practices in this space.  The presenters will draw on their hands-on experience integrating automation, data, and technology into compliance programs to provide practical, iterative strategies for success. 

Specific issues addressed will include: 

  • What are regulators’ expectations about integration of automation, data, and technology?
  • What are the visibility and performance benefits of integrating automation, data, and technology?
  • What systems and processes are most amenable to automation?
  • What technology solutions are available in the market?
  • How do you develop a practical strategy for integrating automation, data, and technology?
  • How do you leverage data to identify risk, optimize performance, and facilitate communication?
  • How do you get buy-in from company leadership and financial personnel to invest in automation, data, and technology?

Presentation Material
  • Integrating Automation, Data, and Technology into Your Compliance Program
    Randall Cook, Joseph Hoang, Waqas Shahid
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