Strategies for Compliance: Tools, Techniques and Challenges in Financial Service

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Compliance is a fundamental control function within regulated industries globally. This book, An essential resource for board directors, compliance officers and other senior managers, provides an expert introduction to corporate compliance, using cases, examples and insights from the financial services sector and beyond.

FORMATPaperback LANGUAGEEnglish CONDITIONBrand New Publisher Description

Compliance is a fundamental control function within regulated industries globally. This book provides an expert introduction to corporate compliance using cases, examples and insights from the financial services sector and beyond.The author, an experienced compliance practitioner and academic, highlights compliance challenges, using examples such as Wells Fargo, whistleblowing in the financial services and the mis-selling of payment protection insurance in the UK banking sector. The book explores strategies for creating compliant cultures and fostering regulatory trust, whilst practical guidance is provided on anticipating regulatory changes. Addressing organisational obstruction and delay, the author presents a series of valuable tools and techniques for real-world practice.An essential professional development resource for board directors, compliance officers and other senior managers, the book also provides a unique learning and development resource for students of corporate compliance globally.

Author Biography

Alan Brener is a Teaching Fellow at University College London and Queen Mary University of London, UK. A qualified Chartered Accountant and member of the Institute of Chartered Accountants in England and Wales, Alan is also a Fellow of the Chartered Banker Institute, a professional body for bankers, and a member of its education and training Quality and Standards Committee. Alan has worked at a senior level in UK commercial banking for many years; most recently at Santander UK where he was responsible, at different times, for the compliance and retail legal departments and regulatory policy. Before joining Santander in 2005, from 1996, he headed the compliance departments for the retail banking divisions of Natwest and RBS banks. From 1989 to 1996 Alan was a senior prudential and conduct of business regulator for the insurance and collective investments sectors, having previously worked on aspects of public policy at the Department of Trade and Industry. Most recently, prior to starting his PhD, Alan was on secondment from Santander helping to set up the Banking Standards Board with the objective of improving standards of conduct and professionalism within the banking industry.

Table of Contents

1. Introduction 2. A New Approach to Compliance and the Lessons from Wells Fargo 3. Compliance and 'Whistleblowing' and Corporate Psychology 4. Compliance and Regulators 5. Finding the Right People and the Key Functions of the Compliance Organisation 6. The Operational Tools of Compliance 7. 'Culture' within a Business 8. Training Corporate Organisations to be Compliant 9. Lessons for Compliance Officers from Regulatory Enforcement 10. Lessons for Compliance Officers from Regulatory Enforcement Actions and Guidance 11. Conclusion Appendix: List of Abbreviations Bibliography

Details ISBN0367337576 Author Alan Brener Language English ISBN-10 0367337576 ISBN-13 9780367337575 Format Paperback DEWEY 332.10681 Pages 264 Publication Date 2020-12-21 Publisher Taylor & Francis Ltd Year 2020 UK Release Date 2020-12-21 Imprint Routledge Place of Publication London Country of Publication United Kingdom AU Release Date 2020-12-21 NZ Release Date 2020-12-21 Subtitle Tools, Techniques and Challenges in Financial Services Alternative 9780367337742 Audience Tertiary & Higher Education We've got this

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