POLICY & PROCEDURE ASSESSMENT & CREATION
Objective policy and procedure development expertise.
OUR SOLUTIONS:
• Assessing Policy & Procedure needs against GRC framework
• Conducting P&P Gap Analysis
• Policy & Procedures Development
• Designing & Implementing P&P Repositories
PROJECT EXAMPLES:
- Produced new market and conduct risk and compliance management policies to implement global reform initiative for Canadian bank
- Developed governance, risk identification and procurement policies and procedures for implementation of new financial regulator.
- Conducted gap analysis of conflict of interest requirements related to sales and business obligations of capital markets and wealth management personnel of Canadian bank.
- Created securities compliance manuals and policies for mutual fund, investment and exempt market dealer registrants.
- Led periodic assessments of internal audit policies, procedures and board charters for retail conglomerate.