Compliance risk management in banks and financial services as a distinct discipline is young and evolving. While compliance as understood in the narrow sense of complying with authority has been in place for many years, the various dimensions and nuances added due to the exponential increase in the complexity of the financial world have brought compliance risk and thereby active compliance management to center-stage. This demands that active compliance risk management be treated as a discipline in its own right. There isnt enough literature and comprehensive reference yet in this space. This book essentially seeks to fill that gap. The book consists of five sections: 1. The first section discusses the Why of compliance: it makes a business case for why active compliance management as a strategic intervention and positive alignment with the organizations business model will enhance the bottom line. 2. The second section deals with What: it breaks free the compliance definition from its narrow confines of merely being compliant to take it to its fullest potential. It explores connections with other risk areas, specifically reputation, legal risk, and governance, and what that means to the customer. 3. Deals with Who: it covers the entire ecosystem of compliance stake holders not just the designated compliance officers. 4. Is the How: viz. operationalizing active compliance right from policy statement to various compliance models, training and all the way to reporting. This section explores the multidimensionality of complex banks Risk aspect of compliance and takes a comprehensive look at compliance risk right from the risk sources to risk identification, its measurement, mitigation, monitoring, action tracking for remediation and the regulatory dialogue. Compliance risk measurement is the youngest to be called out in the family of risks and the book suggests some approaches for the same.

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