Description
Book SynopsisThe tools and information that build effective compliance programs Enterprise Compliance Risk Management: An Essential Toolkit for Banks and Financial Services is a comprehensive narrative on managing compliance and compliance risk that enables value creation for financial services firms.
Table of ContentsPreface xi
Acknowledgments xiii
About the Author xv
Opening Notes xvii
Design and Structure of the Book xix
Part One Introduction to Compliance in Financial Services
Chapter 1 An Overview of Compliance in Financial Services 5
Chapter 2 Compliance in the Twenty-First Century 25
Part Two The What, Why, and Who of Compliance
Chapter 3 What is “Compliance”? 53
Chapter 4 Why is Compliance Needed? 83
Chapter 5 Who are the Players in the Compliance Universe? 121
Part Three The How of Compliance
Chapter 6 Compliance Framework 159
Chapter 7 Operationalizing Compliance 183
Part Four The Compliance Risk Dimension
Chapter 8 Exploring the Concept of Compliance Risk 213
Chapter 9 Compliance Risk Management 239
Part Five The Real World of Compliance in Financial Services
Chapter 10 Real-Life Issues of Managing Compliance in Financial Services 273
Chapter 11 Lessons Not Learned 291
Chapter 12 Practical Solutions to Some Important Operational Challenges 315
Closing Notes 325
Index 335
