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Financial Services storyboard

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Financial Services compliance. With increasing regulatory oversight and customer awareness, it is vital that compliance processes are rigorous and transparent and demonstrably working. A scalable …

Financial Services compliance. With increasing regulatory oversight and customer awareness, it is vital that compliance processes are rigorous and transparent and demonstrably working. A scalable system which allows and enforces accountability without being unduly onerous is essential and provided by IPROS Assured Compliance

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  • Spreadsheets are great but version management becomes a bit of a nightmare quite quickly. Multiple inputs, multiple versions, different structures…..etc
  • The reporting manager has a “reminder” email which clicks through to the areas of the system they need to interact with. This makes the process simple and uncomplicated.
  • Rapid, focused build to value
  • Transcript

    • 1. Improving visible control, Reducing Risk Compliance. Performance. Insight.
    • 2. The problem with Compliance Compliance is a necessity, but why can’t it be certain? Imagine if… ….you could get a view of risks and compliance trends across your business at any time ….your managers could focus on key issues – all the time You have a system in place: Reports. Spreadsheets. Faith. But can you see where you are at risk? What’s being done? Could you check that now? Right now? Can you be totally confident your controls are working? Copyright 2011-2013 IPROS Cube Confidential & Proprietary material
    • 3. What do many people do now? Lots of data No information Copyright 2011-2013 IPROS Cube Confidential & Proprietary material
    • 4. An Inspector Calls…….. • Regulatory environment is placing more demands on sales operations. • Massive increase in oversight over the past 3 years. • Aggressive new regulators in the FCA and elsewhere. • Margins have come under pressure with lower fees and higher costs. • Compensation can be multiple times fines. • Share prices under pressure from reputation damage • Everybody gets fired Copyright 2011-2013 IPROS Cube Confidential & Proprietary material
    • 5. Assured Compliance – keep it simple Compliance Schedule System email Service Managers & Customers Single reporting structure Operating Units Copyright 2011-2013 IPROS Cube Confidential & Proprietary material
    • 6. Visible Risk Management Copyright 2011-2013 IPROS Cube Confidential & Proprietary material
    • 7. View across business units Copyright 2011-2013 IPROS Cube Confidential & Proprietary material
    • 8. Cross-organisation View Copyright 2011-2013 IPROS Cube Confidential & Proprietary material
    • 9. Rigorous Actions Management Copyright 2011-2013 IPROS Cube Confidential & Proprietary material
    • 10. Service & Organisation Performance Copyright 2011-2013 IPROS Cube Confidential & Proprietary material
    • 11. Deployment Approach 2 hours Initiation 4 to 6 weeks from start • Pilot service fully operational • Rollout phase Value Review 1 to 2 weeks • ‘soft’ launch • Pilot phase • Validate • Tweak process & content Live Test • Summary of objectives • Content scope Solution Definition Iterative Build 1-2 days • • • • Build level 1 content Key project plan Rollout schedule Training plan 1 to 2 weeks • Build & test content • Train key users • Complete initial content • Tailored to fit Copyright 2011-2013 IPROS Cube Confidential & Proprietary material
    • 12. Key Benefits Highlight and manage areas of risk Transparency of all activity within each line of business Track actions right across the organisation Reducing cost of sales – self-audit at customer contact No paper mountain but a clear audit trail everywhere Customise to fit business processes in a few days Rapid Deployment, Immediate Benefits Industrial Strength, low cost, scalable Copyright 2011-2013 IPROS Cube Confidential & Proprietary material
    • 13. Contact info@iproscube.com T: +44 1483 688 000 M: 07979 598742 IPROS CUBE Ltd. Surrey Technology Centre, Surrey Research Park, 40 Occam Road, Guildford Surrey, GU2 7YG U.K. www.iproscube.com Copyright 2011-2013 IPROS Cube Confidential & Proprietary material

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