Drafting of internal regulation of a specialized bank

Bank specializing 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

Activities

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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