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The Rebuilding of a Broken Complianc...

Devlin, Susan.

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The Rebuilding of a Broken Compliance Program.

Record Type:	Electronic resources : Monograph/item
Title/Author:	The Rebuilding of a Broken Compliance Program./
Author:	Devlin, Susan.
Published:	Ann Arbor : ProQuest Dissertations & Theses, : 2019,
Description:	53 p.
Notes:	Source: Masters Abstracts International, Volume: 81-04.
Contained By:	Masters Abstracts International81-04.
Subject:	Management. -
Online resource:	http://pqdd.sinica.edu.tw/twdaoapp/servlet/advanced?query=22621063
ISBN:	9781687906007

The Rebuilding of a Broken Compliance Program.
Devlin, Susan.

The Rebuilding of a Broken Compliance Program. - Ann Arbor : ProQuest Dissertations & Theses, 2019 - 53 p.

Source: Masters Abstracts International, Volume: 81-04.

Thesis (M.S.)--Utica College, 2019.

This item must not be sold to any third party vendors.

All financial institutions understand compliance is complex, dynamic and ever-changing. Expert knowledge of the constantly evolving regulatory landscape is a necessary requirement. Fines and enforcement actions are increasing while creating a burden to develop a stronger compliance framework. An effective compliance program requires having the right people, processes and systems in place to do the job right. Although much work has been done in response to the regulatory pressures since the USA PATRIOT Act, the banking industry needs a sustainable compliance framework that will allow them to operate effectively and efficiently. When two financial institutions merge, a compliance organizational redesign not only involves moving one department to another, it involves human beings and their beliefs, emotions and fear of potential job loss, which can cause a cultural clash. A combination of sudden change of cultures, different pay scales and new hires can affect the rebuilding of the framework. One component of this is developing a Horizontal structure that is rich in collaboration among the different departments to provide a more cohesive environment. Organizations recognizing that by taking the time to be clear in their objectives and transparent with their employees may avoid the pitfalls in the design and culture. Another aspect is to develop a task force that can focus on the roles and then the people to determine the fit for the employee. Once the roles have been developed to fulfill the requirements of the regulation, the task force can then review the skills and knowledge of the people to determine the best fit for the employee. Organizations are dynamic so an organization's structure must also be dynamic to cope with the ever changing environment.

ISBN: 9781687906007Subjects--Topical Terms:

516664
Management.
Subjects--Index Terms:

Collaboration

The Rebuilding of a Broken Compliance Program.
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245 1 4 $a The Rebuilding of a Broken Compliance Program.
260 1 $a Ann Arbor : $b ProQuest Dissertations & Theses, $c 2019
300 $a 53 p.
500 $a Source: Masters Abstracts International, Volume: 81-04.
500 $a Advisor: Choo, Kyung-Seok.
502 $a Thesis (M.S.)--Utica College, 2019.
506 $a This item must not be sold to any third party vendors.
520 $a All financial institutions understand compliance is complex, dynamic and ever-changing. Expert knowledge of the constantly evolving regulatory landscape is a necessary requirement. Fines and enforcement actions are increasing while creating a burden to develop a stronger compliance framework. An effective compliance program requires having the right people, processes and systems in place to do the job right. Although much work has been done in response to the regulatory pressures since the USA PATRIOT Act, the banking industry needs a sustainable compliance framework that will allow them to operate effectively and efficiently. When two financial institutions merge, a compliance organizational redesign not only involves moving one department to another, it involves human beings and their beliefs, emotions and fear of potential job loss, which can cause a cultural clash. A combination of sudden change of cultures, different pay scales and new hires can affect the rebuilding of the framework. One component of this is developing a Horizontal structure that is rich in collaboration among the different departments to provide a more cohesive environment. Organizations recognizing that by taking the time to be clear in their objectives and transparent with their employees may avoid the pitfalls in the design and culture. Another aspect is to develop a task force that can focus on the roles and then the people to determine the fit for the employee. Once the roles have been developed to fulfill the requirements of the regulation, the task force can then review the skills and knowledge of the people to determine the best fit for the employee. Organizations are dynamic so an organization's structure must also be dynamic to cope with the ever changing environment.
590 $a School code: 1754.
650 4 $a Management. $3 516664
650 4 $a Banking. $2 bicssc $3 1557594
653 $a Collaboration
653 $a Compliance culture
653 $a Organizational structure
653 $a Regulatory governance
690 $a 0454
690 $a 0770
710 2 $a Utica College. $b Financial Crime and Compliance Management. $3 3541871
773 0 $t Masters Abstracts International $g 81-04.
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793 $a English
856 4 0 $u http://pqdd.sinica.edu.tw/twdaoapp/servlet/advanced?query=22621063