Powering the Success of Volcker Rule Implementation
Project title and high-level description
- Reviewed the training materials for adequacy and analyzed training delivery/execution to ensure training was deployed at a sufficient rate of coverage.
- reviewed support provided to ensure HR ORM’s Oversight Plan change management process require approval and the escalation process is clearly defined with appropriate roles and responsibilities.
- Assessed the design and operating effectiveness of the new/enhanced internal controls.
- Determined, based on review and analysis, whether management had taken the necessary actions to address remediation, the root cause of the issue, and the mitigation of the identified risk to an acceptable level.
- 3 Control Design Evaluation Forms for the 3 new/enhanced controls implemented
- 3 Control Operating Effectiveness Forms for the 3 new/enhanced controls implemented
- MericStream Issue Management module
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