Chief Compliance Officer Series: Compliance Analytics
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1 Chief Compliance Officer Series: Compliance Analytics
2 Legal Disclaimer This information is not intended to be legal advice and may not be used as legal advice. Legal advice must be tailored to the specific circumstances of each case. Every effort has been made to assure that this information is up-to-date as of the date of publication. It is not intended to be a full and exhaustive explanation of the law in any area, nor should it be used to replace the advice of your own legal counsel.
3 Who is KirkpatrickPrice? KirkpatrickPrice is a licensed CPA firm, providing assurance services to over 300 clients in more than 42 states, Canada, Asia and Europe. The firm has over 10 years of experience in information assurance by performing assessments, audits, and tests that strengthen information security, and compliance controls.
4 Services Overview Regulatory Compliance CFPB Guidance and audit services: Policy & Procedure Risk Assessment Vendor Compliance Management CFPB Mock Audit Information Security Guidance and audit services: PCI DSS 3.0 SSAE 16 SOC 2 FISMA ISO / 27002
5 Welcome Jessie Skibbe is a former Chief Compliance Officer with 10 years of ARM industry experience. As Director of Compliance Services for KirkpatrickPrice, she is focused on assisting clients in meeting regulatory compliance & information security objectives. ACA Certified Credit & Collections Compliance Officer (CCCO) ACA Scholar Designation ISC2 Certified Information Systems Security Professional (CISSP) DBA Certified Receivables Compliance Professional (CRCP) PCI SSC Qualified Security Assessor (QSA)
6 Definition Analytics The discovery and communication of meaningful patterns in data. Especially valuable in areas rich with recorded information, analytics relies on the simultaneous application of statistics, computer programming and operations research to quantify performance. Analytics often favors data visualization to communicate insight. Source: Wikipedia (
7 Compliance Analytics: A component of Management Review, performed in the Check Phase of your overall Compliance Management System Effective tool for the reporting of Compliance Issues to the Board of Directors & Senior Management Definition
8 Welcome Anne Thomas is Senior Compliance Counsel and CCO for Cavalry Portfolio Services, LLC in charge of designing and implementing Cavalry s compliance program. She has worked in the credit and collection industry since ACA Certified Credit & Collections Compliance Officer (CCCO) ACA Scholar & Fellow Designations DBA Certified Receivables Compliance Professional (CRCP)
9 Where to Start? Map the regulatory requirements Identify the requirements (State, Federal, Clients, etc.) Map the requirements to your processes Develop or purchase programs to analyze and report on data to ensure compliance Develop action plans where applicable Take Action
10 Capturing the Data Complaints Call Monitoring Training Results Internal Audit Results Vendor Management Audit Results
11 Consumer Complaint Response The Chief Compliance Officer s role Ensure complaints are: Promptly addressed Categorized appropriately Review of complaints Analysis of complaints Identify weaknesses in the Compliance Management System Challenges
12 Complaints Exam procedures reference: Determine if complaint data and individual cases drive adjustments to the business practices as appropriate. Determine whether the entity has a process for analyzing complaints to identify patterns of debt collection practices that violate the law or pose risks to consumers. For example, such analysis might indicate violations by a particular employee or service provider or data integrity problems associated with a particular set of accounts or portfolio.
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14 Complaints Taking it to the next level: Portfolio ID Client Collector
15 Call Analytics Utilize scorecard data to measure overall compliance posture Ensure policies and procedures for call monitoring are followed Identify weaknesses and opportunities for improvements Measure the affects of changes and improvements
16 Call Analytics
17 Call Analytics Taking it to the next level By Manager By Site By Trainer Voice Analytics Statistics
18 Employee Training Overall measurement of compliance knowledge Identification of weaknesses and opportunities for retraining
19 Employee Training
20 Employee Training Taking it to the next level: Modular Training & Evaluation Score vs. pass/fail testing
21 Coming up Next Chief Compliance Officer Series: Constructing an Internal Audit Framework When: November 2014 (TBD) A detailed look at internal audit. What to audit and how often.
22 Thank you for attending our Webinar Q & A For further information contact: Todd Stephenson t.stephenson@kirkpatrickprice.com Ext. 202 Jessie Skibbe j.skibbe@kirkpatrickprice.com Ext. 103
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