Manage Internal Policies & Procedures

Managing internal policies & procedures & aligning them external rule changes or periodically evaluating them has been a significant challenge for financial services firms.

Billions of dollars have been invested in efficient document management systems and workflows, but they often miss important triggers to update/evaluate them. This is due to a combination of various reasons:

Problem

Some of the typical challenges faced by assurance teams include:

  1. Lack resources - human and technology.
  2. Identifying external regulatory changes is a manual process.
  3. Mostly use internal technologies or spreadsheets and need new tools to manage their deliverables.
  4. Tracking and managing findings to closure is not efficient due to lack of an integrated 3-lines of defense solution to manage compliance and assurance across all obligations.
  5. Functions are aligned either based on rules, internal policies or business units. Lack a central firm-wide consistent methodology.
  6. The effort is replicated across all the obligations and business units because each business unit have their own methods which have similar inefficiencies.

Solution

BCube solves this critical problem. BCube’s private rule library helps you link your procedures to external rules and provides you a alerts to review them.

Steps to Adopt BCube to Solve This Problem

Contact us to find out how BCube Analytics solves this critical issue of maintaining your internal policies & procedures.