Webinar: Section 166 File Remediation & Backlog Clearing: A Practical Approach

Description:

Managing a Section 166 remediation while tackling backlog clearing requires a structured, risk-based approach to ensure regulatory compliance and operational efficiency. In this expert-led session, Howard Baxter, Head of KYC Managed Services, will share practical strategies to help firms navigate these challenges effectively. Topics include:

In this session we will dive into the topic by:

• Developing a Clear Strategy & Scope – Prioritising high-risk cases, ensuring data integrity, and managing stakeholder expectations.
• Backlog Clearing Best Practices – Implementing efficient processes to address outstanding files while maintaining compliance standards.
• Managing Resources & Timelines – Addressing bottlenecks, balancing cost pressures, and understanding the remediation J-curve.
• Building a Strong Compliance Culture – Ensuring senior management accountability and fostering collaboration between teams and clients.

  – Ensuring Documentation & Continuous Improvement – Strengthening compliance frameworks and preventing future regulatory issues.

  Join us for this insightful webinar where Howard Baxter will provide practical guidance on streamlining remediation efforts and backlog clearing to enhance compliance outcomes and operational resilience.

Access to the webinar and ViCA:

• By registering to our webinar, you will also get access to ViCA, our Virtual Compliance Assistance (20-queries for FREE, no Credit Card or Subscription is required to test)