Drafting of Internal regulation of a specialized Bank
Bank specialising in services for SMEs and private customers with a strong digital vocation
Following the revision of its Operating Model, the Bank has requested Macfin’s support in the review of processes and in the updating of the internal regulations due to reflect the changes in the organizational structure and processes.
Goals
Review processes and internal controls
in order to make them consistent with the business model and the new organizational structure adopted by the Bank
Adapt the set of company regulations
in relation to the new organizational and control structure
Ensure compliance
with the regulatory and current prudential supervision provisions
Activity
Identification of the margin of processes / procedures
to be adjusted (i.e. Scope Analysis), taking into account the changes in the organizational structure and in the operating model, and the preparation of an Action Plan (i.e. details of regulations, owner, timing, status, etc.)
Collection and analysis of documentation
organizational structure and processes "to be" (i.e. benchmark)
Process and control point detection
by conducting interviews with the process owners and the preparation of a synthetic process sheet
Preparation of company regulations
sharing documents with process owners, the Organization Function and, where it is applicable, the Internal Control Functions (i.e. Compliance, Risk Management and Internal Audit)
Validation of internal regulations
through suitable exit meetings, the implementation of any integrations, and the release of the final version of the documents
Results
Implementation of a standardized regulatory framework
consistent with the business model implemented by the Company and in compliance with applicable regulatory requirements
Use of and representation models
of the organizational rules and the exhaustive internal processes, which are also optimized, effective and easy to update
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