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Social Media Compliance Monitoring for Loan Officers
March 19, 2021

Social Media Compliance Monitoring for Loan Officers

Now more than ever it’s critical for mortgage lenders to have a social media presence in order to connect with prospective...


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Tags: Regulatory Compliance, Social Media, Social Media Compliance Series, Risk Management, Compliance Monitoring,

Four Safety Practices And Resources Compliance Leaders Should Use Right Now
November 15, 2020

Four Safety Practices And Resources Compliance Leaders Should Use Right Now

This article was originally published on Forbes. 

As our country has slowly begun to reopen, organizations both large and...


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Tags: Regulatory Compliance, Mortgage, Call Center, Compliance Monitoring

Documents, Data, and Risk Management: Insights from Microsoft and PwC
October 22, 2020

Documents, Data, and Risk Management: Insights from Microsoft and PwC

In a recent COMPLY Summit Series event, we were joined by Alan Gibson, Assistant General Counsel of Compliance and Ethics at...


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Tags: Risk Management, Compliance Monitoring, Documents, Data and Analytics

Prevention, Detection, and Remediation: CFTC’s Compliance Guidance
September 11, 2020

Prevention, Detection, and Remediation: CFTC’s Compliance Guidance

On September 10th, the Commodity Futures Trading Commission (CFTC) issued new guidance for financial institutions on the...


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Tags: Regulatory Compliance, Consumer Protection, Risk Management, Compliance Monitoring

Financial Institutions, Social Media, and Compliance [Stats + Guide]
August 25, 2020

Financial Institutions, Social Media, and Compliance [Stats + Guide]

Social media is a powerful marketing tool for financial services marketers, with the potential to reach billions of consumers...


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Tags: UDAAP, Social Media, Advertising, Risk Management, Endorsements,

Three Lines Model: Proactive & Collaborative Approach to Risk Management
August 13, 2020

Three Lines Model: Proactive & Collaborative Approach to Risk Management

The Institute of Internal Auditors (IIA)’s “Three Lines of Defense Model” has long been utilized by organizations as guidance...


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Tags: Risk Management, Compliance Monitoring

Risk Management In Your Call Center: Compliance and Agent Performance
July 17, 2020

Risk Management In Your Call Center: Compliance and Agent Performance

Many decisions made within companies come down to the question of risk vs. reward. While taking some risks may bring a company...


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Tags: Regulatory Compliance, Performance Management, Risk Management, Call Center, Compliance Monitoring

Compliance Guidance: DOJ Asserts Middle Managers and Data Are Key to Success
July 9, 2020

Compliance Guidance: DOJ Asserts Middle Managers and Data Are Key to Success

As regulators focus more closely on consumer protection, compliance programs must be reevaluated to ensure they are effective,...


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Tags: Regulatory Compliance, Consumer Protection, Risk Management, Compliance Monitoring

RegTech: Institutionalizing Compliance & A Better Customer Experience
June 18, 2020

RegTech: Institutionalizing Compliance & A Better Customer Experience

RegTech is a critical tool for companies looking to mitigate their regulatory and reputational risk. RegTech acts as a...


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Tags: Thought Leadership, Risk Management, Lessons Learned from Former CFPB Director, Compliance Monitoring, RegTech

GET THE 2020 CONSUMER COMPLAINTS REPORT

An analysis of consumer complaints and the risk signals that they present for financial institutions
2020-consumer-complaints-report