How To Draft A Compliance Policy
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- čas přidán 17. 05. 2024
- Welcome to the fourth instalment of the How To series, and today I'll be talking about "How To Draft A Compliance Policy."
Good compliance policies are instrumental in any compliance program because they provide clarity on the organisation's position and expectations with respect to various subjects and regulatory requirements. It is important that a policy is drafted in a way that is clear, easy to understand and above all else empowers the employees to act in the desired manner. This video explains how to structure a policy as well as tips to ensure that the policy is adhered to. Because we like to make your life easier we've created a template that you can use to create your own compliance policies. Get the Compliance Policy Template.
learning.kccompliance.co.za/H... (SKU - KCCLTP001)
If you have any additional insights or helpful thoughts on how to draft a compliance policy please feel free to share them in the comments.
You can use the link below to find out more about our Compliance Risk Management 101 online course
www.learning.kccompliance.co....
Follow KC Compliance on social media for regular updates and more information on what we have coming up.
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Very useful video. Crisp and clear
Thank you!
I like how u make ur subject clear and simple. Please keep it up. Would love to see a video about Compliance Monitoring Program. Thank u
Thank you so much. Check out the video on distinguishing between monitoring and testing.
czcams.com/video/D6t0PPyipfg/video.html
If you want to go deeper on the plan you can sign up for my virtual compliance workshop. The next one is on 27th September.
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Thank u for this
Enjoy listening your videos...I even take note of pointers. Looking forward to more content.
Glad to hear it! More to come.
First of all thank you for such a informative video, I had doubts before this video but you explained it in such a manner that I have a clear picture about it, thanks once again.
You are very welcome.
Hi do you only have CZcams as a platform or are you on any other social media platforms?
You are just amazing 👏
Thank you so much. I''m on LinkedIn and Instagram as well.
LinkedIn - @KudzaiChaka and @kccompliance
Instagram - @kccompliance
Thank you for the video just started my new role as a Compliance Administrator and this is very helpful☺️☺️
You're very welcome! If it helps you can get yourself a template at our online store. Link is in the description. All the best in your new role.
Thank you for this helpful video ♥
You are welcome. The template is also available at my online store if you need it.
learning.kccompliance.co.za/Home/store/
Absolutely love your videos. So clear and succinct. Thanks Kudzai ❤
You're very welcome
One of the great videos I have come across. I enjoy watching your videos. I am trying to get a compliance position but it has not been easy. Please, do you have a video that explains how one can easily get a compliance job, and what I need to be successful?
Thank you.
Hi Anette, we have two webinars that will be helfpul to you. 1. How To Start A Career In Compliance and 2. Core Compliance Skills. You can sign up at KC Compliance Learning and watch them for free.
kccompliance.talentlms.com/catalog
Just chanced on your channel and already loved your content. One question I have is: IF you are asked, what are your strengths as a Compliance Analyst or expert, what key strengths align to this role, and if an organization (in an interview) asks; what is your goal or vision for desiring to join the team? Thank you
So glad to hear you love the videos. I'll be sharing more soon one of which will be about specific Interview Questions.
In the meantime check out my Top 10 Compliance Interview Q&As that you can get at our online store.
learning.kccompliance.co.za/Home/store/
Thank you for this video. Can you elaborate on procedures for Compliance AML. I am aware that procedures should be tailor made for the type of service provider. AML Policy and AML procedures should be clear to each topic. I ordered your templates but a template for procedures was not included. Thank you in advance.
Procedures are essentially how you operationalise what you've put in your policy so that it can be done day to day. So for example if your policy states that KYC must be completed on all customers, then your procedures will document the actual documents that must be collected and by which team in the business and how the collection and verification process will work before customer onboarding is considered complete. Because procedures very much depending on how the business itself operates it's very difficult to create a template for it. Thanks for getting the policy template.
Do compliance policies have to be approved by the Board or senior management can sign them off ?
The companies policy governance framework will define how and by whom policies should be approved by. Depending on the size and structure of the company it may be Board level or the Executive Committee.
Do you have a template you would recommend
You can get yourself the template at our online store.
learning.kccompliance.co.za/Home/store/#!/Compliance-Policy-Template/p/449378861/category=120220770
I'm Theophilus from Ghana and I'm contacting you concerning an upcoming interview of mine. I'm supposed to do presentations on Friday on the role of a Compliance and Risk Management officer and my vision for the company, a community bank.
I'm finding the second one particularly difficult and I was wondering if you could give me some advice, if it's not too much to ask. Thanks
Hi Theophilus, happy to help. Based on the limited information in the question in my view vision would relate to long term plans e.g. how you would contribute to the long term plans of the company and how you would embedd a strong culture of compliance and ethics. It could also relate to your vision for your career i.e. long term plans within the organisation. Hope that helps you with your presentation. Good luck!
At KC Compliance we offer Interview Prep Sessions if that's something that would interest you.
@@CompliancewithKudzai Thanks for the feedback. Do you have any recommendations? Anything to read? What to talk about?
@@theophiluseshun2065 www.learning.kccompliance.co.za/Home/workshops/
This is nice. However, it helps to put up some form of writing
Thanks Kennedy, I appreciate the valuable feedback.
do you offer any services relating to compliance?
HI Michael, yes I do. I provide compliance advisory for businesses as well as compliance training.
Please visit www.kccompliance.co.za for information on the compliance risk management services and www.learning.kccompliance.co.za for information on training and skills development.