Compliance & Regulatory

For this global leader in financial services, Confidence worked with almost a dozen Regulatory & Compliance associates across three teams to capture and document their processes.

Our frictionless capture method starts by simply recording our client’s subject matter experts as they walk through their processes. Covering Complaints Management, Privacy Incident Management, and OFAC Sanctions Screening, the final documentation was reviewed and tested with other team members to ensure precision. And, the resulting playbooks allowed our client to onboard new associates and cross-train them with relative ease.

WITHOUT CONFIDENCE

• Substantial gaps in procedural documentation
• Inconsistent methods of execution across team
• Lack of visibility into commonly recurring issues
• Difficult and time-consuming to onboard new associates and cross-train them
• Team multi-tasks frequently throughout the day, making it hard to stay organized

WITH CONFIDENCE

Thorough documentation of all compliance procedures

Includes end-to-end steps, visual aids, important notes, and completion badges

Optimized steps during the process capture phase increased consistency between teammates

Expedited onboarding and training experience for both the trainer and trainee

Single, easy-to-use process library with improved organization