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Compliance officers: Reporting to the Board

Question: 
Board reporting is always an issue. What guidance will you offer?
Answer: 

Because you have little time to prepare for the few minutes of face time you get with your board, templates you customize allow you to provide the board a quick summary of your compliance program, the activities you were involved in during your last reporting period, and what is coming up. The template means you’ll provide consistent information. This is important to them, and to you because it means when you have an exam, everything that is important was covered and there will be “no surprises.” The board and management do not like compliance surprises.
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Learn more about Andy Zavoina’s webinar
Compliance Management – Program and Training

First published on 07/02/2017

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