Reconceiving Compliance Traceability for Improved Confidence in Compliance Initiatives

Since the devastation of COVID-19, 2021 has been about the financial world gaining lost ground. Across the board banking, stock markets, insurance, investments, and lending institutions have been optimizing operations for the new normal.

The dual conundrum facing the compliance officer is that of improving and evolving the compliance programs, while keeping the compliance costs under check. Today more than ever before, keeping pace with the regulatory, business, and external risk environments is one of the most significant challenges of a compliance officer. There are three points compliance officers must consider in this time of change: 

  • The escalating need for the compliance function to improve its operating processes for the new post-pandemic world without breaking the bank 
  • Automating an often underserved, but strategically important process such as compliance traceability, will improve and evolve the compliance program 
  • The four steps to reconceive compliance traceability process while optimizing compliance costs 

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