The Core Elements of an Effective Compliance Management System
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The Core Elements of an Effective Compliance Management System
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In today's regulatory environment, one weak link in your compliance strategy can expose your business to serious legal, financial and reputational risk. In his latest podcast, consumer protection attorney Anthony DiResta delivers a clear, executive-level look at what it takes to build a compliance management system (CMS) that meets the expectations of regulators including the Federal Trade Commission, Federal Deposit Insurance Corp. and Consumer Financial Protection Bureau. He provides practical insight into the essential prongs of a CMS: board and management oversight, written policies and procedures, effective training, ongoing monitoring and audit, consumer complaint response, risk assessment and third-party oversight. With a strong emphasis on leadership, accountability and culture, this episode shows why compliance is not simply a legal obligation, but a core business function that protects the organization, strengthens decision-making and drives long-term success in the marketplace.