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  • Building Your Defenses: Compliance Management for First-Line Operations
  • Building Your Defenses: Compliance Management for First-Line Operations

    White Papers April 26, 2023 By Tracey Levandoski
    Tracey Levandoski
    Managing Director

    Tracey Levandoski is the author of this new white paper, Building Your Defenses: Compliance Management for First-Line Operations. Many banks have moved to three lines of defense (3LOD) governance model, even if they are not yet required to because of their asset size ($50 billion or more). In the 3LOD model, the business lines (1LOD), which comprise the frontline and back-office operational groups that sell and service the bank’s products, are responsible for developing and maintaining an effective compliance management system (CMS) for the respective business line. This allows the Compliance Department to serve a true second line of defense (2LOD). Whether your bank is in the process of building out a compliance function in the business lines or just starting to make a case for one to management, this white paper will provide the information you need.

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    Category: Internal Audit

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