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The Results Are In
Your answers to our annual compliance survey
by Bill Koch, Editor, The Compliance Advisor
When you put out a survey and ask your readers to contribute, it’s a little like a kid sending out birthday party invitations. You hope that you’re somewhat popular and have friends who will come to your party. But in the back of your mind, you prepare yourself for the dark reality that no one really likes you.
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Surveying the world of compliance
Trey Sullivan |
We asked, you responded. The Compliance Advisor is all about helping you develop a solid compliance program to stay one step ahead of the bad guys — and federal regulators. We can’t do that without knowing what your daily work life is like. This month’s feature article shares your responses from our reader survey and will let you know if your top compliance issue is the same one faced by your counterparts across the country.
Last month, we asked how you protect your customer information from vendors who work in your building. You shared your daily processes that help build a trusting relationship with your on-site vendors. This month, we ask how you make compliance training the same for everyone in your bank. Should everyone really receive the same kind of training? We need your best advice.
To keep this newsletter’s material relevant to you, we invite you to become actively involved. Please send ideas for articles you’d like to see, and let us know if the topics being covered are relevant to the issues your institution faces. Take our brief reader survey, and you’ll be registered for a chance to win an Apple iPod™.
If you would like to unsubscribe from this newsletter, please click on link at the bottom of the page.
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Complete our 1-minute reader survey and you could win
an Apple iPod™. |
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Meeting Your Multi-Factor Authentication “Risk Assessment” Requirements
This
Webinar focuses on FFIEC guidance for authentication in an Internet banking
environment. With a looming deadline of December 2006, learn how a fundamental
risk assessment can help your financial institution select the right “risk
based” authentication method(s). An important step in preventing identity theft
and fraud, this Webinar focuses on multifactor authentication as it relates to
your products and services, in addition to supporting your overall information
security program.
Two Dates Available: July 26 and August 17
Time: 3 p.m. EDT
Register for
this complimentary Webinar.
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Last Issue's Dilemma:
How can I keep customer information safe around vendors?
The employees at our bank receive extensive training on handling confidential information. I am worried, though, about the level of training that our vendors receive. Some of them have access to a great deal of customer information, especially during off-hours, without much supervision.
I am not as worried about the vendors we use to maintain our computers and network. I am thinking more about our cleaning staff, our groundskeepers and other vendors that might have a higher rate of turnover.
How can I build trust with these vendors while still ensuring that our customer information will be safe? How should I train our own employees to monitor vendors, without appearing overly suspicious?
— Alan F., Compliance Officer
Read the best advice from readers
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This Issue's Dilemma:
How can we make compliance training the same for everyone?
Our last audit showed that not everyone was receiving the same basic training in standard compliance measures. So now, we are implementing a comprehensive compliance training program that everyone in our bank will be required to complete.
Naturally, everyone at our bank has a slightly different function. But they should all get the same training on the routine parts of our compliance processes.
How can we create a training program that doesn’t get in the way of daily business in our bank and still make sure everyone gets the same training? But then again, should everyone really receive the same kind of training?
— Molly K., Compliance Officer
Can You Help?
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Fraud and AML
Monitoring: Stay ahead of the bad guys |
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Change Management:
Survive and thrive |
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Government
Regulations: Keep up with your changing environment |
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"The helpful staff at InternetVIZ keeps our newsletter on track, and enables us to bring valuable information
to our most important constituents—our customers."
- Trey Sullivan, CEO, ATTUS Technologies
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