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Planning Regulatory
Compliance


          A 9-Step Process to Implementing
              Mortgage Lending Regulatory
    ...
Scope Planning
 What is the New Requirement?
 Licensing Provisions
 Review Regulation
 Review Summaries/Opinions
 Def...
Develop Activity List
   Task Breakdown


   Task Description


   HR Needs


   Task Duration
Schedule Development
 Implementation Date
 Task Sequencing
 Task Duration Estimating
 Task Dependencies
 Testing
 Ri...
Costs Involved

 Personnel
 IT
 Training
 Cost Estimation
 Cost Budgeting
Quality Planning
 Checklists
 Testing/Audits
 Process Control Charting
 Process Improvement Plan
Human Resource Planning
 Roles and Reporting Relationships
 Staffing Plan
 Position Descriptions
 Outsourcing???
Communications Planning
 Whom Do You Communicate With
 Proposed Changes
 Stakeholder Communication
 Communication Meth...
Risk Planning
   Risk Identification
    ◦ Internal
    ◦ External
    ◦ Technical
 Risk Analysis
 Risk Response
Contract Planning
 Forms
 LOS System
 HMDA
 Outside IT
End Product
 Management Plan of the
  Implementation for the new
  Requirement
 Use as Baseline for Execution and
  Cont...
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Planning Regulatory Compliance

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Transcript of "Planning Regulatory Compliance"

  1. 1. Planning Regulatory Compliance A 9-Step Process to Implementing Mortgage Lending Regulatory Changes Prepared by Edward A. Haskin Financial Services Project Manager
  2. 2. Scope Planning  What is the New Requirement?  Licensing Provisions  Review Regulation  Review Summaries/Opinions  Define Scope ◦ Clarify the boundaries of the requirement by identifying the inclusions and exclusions so all parties are clear about the limits.
  3. 3. Develop Activity List Task Breakdown Task Description HR Needs Task Duration
  4. 4. Schedule Development  Implementation Date  Task Sequencing  Task Duration Estimating  Task Dependencies  Testing  Risk Planning Outputs
  5. 5. Costs Involved  Personnel  IT  Training  Cost Estimation  Cost Budgeting
  6. 6. Quality Planning  Checklists  Testing/Audits  Process Control Charting  Process Improvement Plan
  7. 7. Human Resource Planning  Roles and Reporting Relationships  Staffing Plan  Position Descriptions  Outsourcing???
  8. 8. Communications Planning  Whom Do You Communicate With  Proposed Changes  Stakeholder Communication  Communication Methods ◦ Memo, Email, In-Person Presentations  Information Distribution  Performance Reporting
  9. 9. Risk Planning  Risk Identification ◦ Internal ◦ External ◦ Technical  Risk Analysis  Risk Response
  10. 10. Contract Planning  Forms  LOS System  HMDA  Outside IT
  11. 11. End Product  Management Plan of the Implementation for the new Requirement  Use as Baseline for Execution and Control.  Close Implementation  Lessons Learned  Transfer of Knowledge to Next New Requirement
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