{"product_id":"enterprise-compliance-risk-management-isbn-9781118550281","title":"Enterprise Compliance Risk Management","description":"\u003cp\u003e\u003cb\u003eThe tools and information that build effective compliance programs\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003e\u003ci\u003eEnterprise Compliance Risk Management: An Essential Toolkit for Banks and Financial Services\u003c\/i\u003e is a comprehensive narrative on managing compliance and compliance risk that enables value creation for financial services firms. Compliance risk management, a young, evolving yet intricate discipline, is occupying center stage owing to the interplay between the ever increasing complexity of financial services and the environmental effort to rein it in. The book examines the various facets of this layered and nuanced subject.\u003c\/p\u003e \u003cp\u003e\u003ci\u003eEnterprise Compliance Risk Management\u003c\/i\u003e elevates the context of compliance from its current reactive stance to how a proactive strategy can create a clear differentiator in a largely undifferentiated market and become a powerful competitive weapon for organizations. It presents a strong case as to why it makes immense business sense to weave active compliance into business model and strategy through an objective view of the cost benefit analysis.\u003c\/p\u003e \u003cp\u003eWritten from a real-world perspective, the book moves the conversation from mere evangelizing to the operationalizing a positive and active compliance management program in financial services. The book is relevant to the different stakeholders of the compliance universe - financial services firms, regulators, industry bodies, consultants, customers and compliance professionals owing to its coverage of the varied aspects of compliance.\u003c\/p\u003e \u003cp\u003e\u003ci\u003eEnterprise Compliance Risk Management\u003c\/i\u003e includes a direct examination of compliance risk, including identification, measurement, mitigation, monitoring, remediation, and regulatory dialogue. With unique hands-on tools including processes, templates, checklists, models, formats and scorecards, the book provides the essential toolkit required by the practitioners to jumpstart their compliance initiatives. Financial services professionals seeking a handle on this vital and growing discipline can find the information they need in \u003ci\u003eEnterprise Compliance Risk Management\u003c\/i\u003e.\u003c\/p\u003e \u003cp\u003ePreface xi\u003c\/p\u003e \u003cp\u003eAcknowledgments xiii\u003c\/p\u003e \u003cp\u003eAbout the Author xv\u003c\/p\u003e \u003cp\u003eOpening Notes xvii\u003c\/p\u003e \u003cp\u003eDesign and Structure of the Book xix\u003c\/p\u003e \u003cp\u003e\u003cb\u003ePart One Introduction to Compliance in Financial Services\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eChapter 1 An Overview of Compliance in Financial Services 5\u003c\/p\u003e \u003cp\u003eChapter 2 Compliance in the Twenty-First Century 25\u003c\/p\u003e \u003cp\u003e\u003cb\u003ePart Two The\u003ci\u003e What\u003c\/i\u003e, \u003ci\u003eWhy\u003c\/i\u003e, and\u003ci\u003e Who\u003c\/i\u003e of Compliance\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eChapter 3 What is \"Compliance\"? 53\u003c\/p\u003e \u003cp\u003eChapter 4 Why is Compliance Needed? 83\u003c\/p\u003e \u003cp\u003eChapter 5 Who are the Players in the Compliance Universe? 121\u003c\/p\u003e \u003cp\u003e\u003cb\u003ePart Three The\u003ci\u003e How\u003c\/i\u003e of Compliance\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eChapter 6 Compliance Framework 159\u003c\/p\u003e \u003cp\u003eChapter 7 Operationalizing Compliance 183\u003c\/p\u003e \u003cp\u003e\u003cb\u003ePart Four The Compliance Risk Dimension\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eChapter 8 Exploring the Concept of Compliance Risk 213\u003c\/p\u003e \u003cp\u003eChapter 9 Compliance Risk Management 239\u003c\/p\u003e \u003cp\u003e\u003cb\u003ePart Five The Real World of Compliance in Financial Services\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eChapter 10 Real-Life Issues of Managing Compliance in Financial Services 273\u003c\/p\u003e \u003cp\u003eChapter 11 Lessons Not Learned 291\u003c\/p\u003e \u003cp\u003eChapter 12 Practical Solutions to Some Important Operational Challenges 315\u003c\/p\u003e \u003cp\u003eClosing Notes 325\u003c\/p\u003e \u003cp\u003eIndex 335\u003c\/p\u003e \u003cp\u003e\u003cb\u003eSALONI P. RAMAKRISHNA\u003c\/b\u003e has nearly three decades of experience in financial services, both as hands-on professional as well as a solutions architect and contributor to the industry dialogue. She has been invited to share her thoughts and views on industry trends surrounding compliance, risk, customer centricity, performance, and data management in the analytics space by national and international banking and finance forums.\u003cbr\u003eSaloni's ideas have appeared as articles and quotes in newspapers, journals, magazines, and television interviews. She has presented papers at national and international seminars and conferences. Since 2012, she has been a columnist for one of India's leading monthly magazines.\u003cbr\u003eShe is currently a Senior Director with Oracle. In her role she frequently interacts with top managers of banks, consulting professionals, financial services bodies, and senior regulators across multiple countries.\u003c\/p\u003e \u003cp\u003eAt face value, compliance seems straightforward, however, in the context of the complex financial services industry its nuances and dimensions increase exponentially. You need a comprehensive guide like \u003ci\u003eEnterprise Compliance Risk Management\u003c\/i\u003e to decode and demystify this multilayered subject. The book is an essential toolkit and offers comprehensive single-source guidance on the evolving discipline of compliance risk management.\u003c\/p\u003e \u003cp\u003eThe easy to understand and easy to implement strategic, structural and operational frameworks will help create a strong and inclusive compliance framework that will be a powerful competitive weapon for your organization. It is enhanced competitiveness and profitability that makes the models, processes, formats, templates, scorecards and tools included in this book so valuable. Written specifically to align with and enhance your fundamental business objectives of value creation, preservation, and enhancement, the lucid narrative provides a broad view of managing compliance and compliance risk holistically, with attention given to the myriad of interrelated facets of financial services. With this practical guide at your fingertips, you can:\u003c\/p\u003e \u003cul\u003e \u003cli\u003eEnhance your bottom line by practicingactive compliance management (PAC-M) as a strategic intervention by weaving it into your organization's business model\u003c\/li\u003e \u003cli\u003eGet the most out of compliance initiatives by aligning them with other connected functions like audit, legal, governance, and risk management\u003c\/li\u003e \u003cli\u003eTrace and connect the entire ecosystem of stakeholders of the compliance universe inclusive of the designated compliance officers\u003c\/li\u003e \u003cli\u003eMaster an actionable approach to compliance risk covering identification, measurement, mitigation and remediation as well as preparation for the regulatory dialogue\u003c\/li\u003e \u003cli\u003eExplain how benefits of active compliance far outweigh its costs\u003c\/li\u003e \u003cli\u003eJump start or refine your complianceinitiatives with unique hands-on tools the book provides\u003c\/li\u003e \u003c\/ul\u003e \u003cp\u003eThis complete guide also prepares you for operational challenges by providing lessons from the field and suggestions on turning setbacks into learning opportunities that can help improve the entire process.\u003c\/p\u003e","brand":"Wiley","offers":[{"title":"Default Title","offer_id":47989141242085,"sku":"NP9781118550281","price":100.0,"currency_code":"USD","in_stock":false}],"thumbnail_url":"\/\/cdn.shopify.com\/s\/files\/1\/1842\/7735\/files\/9781118550281.jpg?v=1761782963","url":"https:\/\/k12savings.com\/es\/products\/enterprise-compliance-risk-management-isbn-9781118550281","provider":"K12savings","version":"1.0","type":"link"}