Financial Services is a highly competitive, regulated industry that faces a larger and more dangerous landscape of threats and employee risk challenges than ever before: ClearForce enables real-time discovery of concerning employee behavior, the consistent and fair execution of policy, and ensures all employees are provided a physically and emotionally safe workplace.
Today’s environment requires financial services employers to discover and mitigate ethical, legal, policy and regulatory violations as early, fairly and consistently as possible.
A 9-step approach reducing your risk of employee risk.
A physically and emotionally safe workplace is an environment that fosters trust amongst employees; a trust conveyed to consumers. The same attributes that cause consumers to choose a financial services firm are those that make a firm an “employer of choice” for leading talent employees.
A explanation on non-invasive employee protection strategies.
Violations, abuse and lack of transparency weaken consumer confidence and invite greater regulatory scrutiny, legal action, fines and penalties.
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ClearForce’s Resolve platform is the only inter-departmental, automated platform that supports real-time discovery of employee misconduct, provides governed workflow, employee treatment, documentation and reporting for use by security, legal and human resources.
We help our customers target employee engagement through the prudent and fair application of regulatory and customer mandated employee conduct requirements and corporate policy. Our technology adheres to today’s privacy, employment and security protocols.
A corporate code of conduct or ethics policy should be implemented to provide employees, officers, directors and agents with specific guidelines on acceptable and unacceptable business practices.
The policies should cover the entire organization, including subsidiaries and specific business activities unique to an institution.
The corporate code of conduct or ethics policy should adopt provisions that explain the general prohibitions of the Federal Bank Bribery law.
Management should require bank employees, officers, directors and agents to sign a written acknowledgement of the institution’s corporate code of conduct or ethics policy, including written acknowledgement of any subsequent material changes to the code or policy.
Management should provide periodic training about its corporate code of conduct or ethics policy.
Compliance with the policies should be monitored. Violators should be subject to specific and appropriate actions to deter wrongdoing, compel accountability and promote adherence to the policy.
