File Auditing for COLPs - A Roadmap
The webinar will prompt COLPs and those others responsible for file reviews to rethink their processes, making them more dynamic and relevant.
By the end of the webinar, COLPs and others responsible for their firm's file auditing will have a clear roadmap for a much improved process.
What You Will Learn
This webinar will cover the following:
- What makes a file review process really work
- How to unbundle the process and improve each step
- Why fewer, targeted questions can produce better information
- How to target files for review like an insurer or a regulator
- The regulatory context and the requirements of the various accreditation schemes
- The different approaches required for paper and electronic audits
- What to consider with new staff whether newly qualified or senior lateral hires
- How to gain real value from the process