Building a compliance framework

Building a compliance framework

In this video, Jodie explains what a compliance regulatory framework is and the factors that should be taken into account when creating such a framework. She further explains how to maintain it to ensure it remains effective for a business and its stakeholders. 
Overview

A compliance framework is a structured set of guidelines and best practices that details a firm’s processes for how it meets regulatory requirements.

A firm will need to consider the following when building a compliance framework:

Understand its basic and fundamental regulatory requirement and business activities

Scope how the business is to achieve its regulatory requirements through the business model and governance arrangements.

Maintenance of the framework through monitoring, updates and staff training.

Key learning objectives:

  • What is a Compliance Framework?

  • Scoping a Compliance Framework

  • Maintaining a Compliance Framework

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