Making supervision and oversight ‘easier’ for Financial Services executives
Financial Services executives are being held more accountable for their supervisory actions and the actions of their staff than ever before. Practices or inaction that were once tolerated are now punitive for individuals – not just firms.
How do Supervisors ensure all their staff understand and attest to relevant responsibilities? How does tailored information get directly to a supervisor to enable them to fulfil their responsibilities? How can all relevant information flows, questions, follow ups and approvals be contained in a single one-stop-shop solution?
SupervisionIQ Group – making supervision and oversight ‘easier’ for Financial Services executives
Protecting shareholders. Protecting institutions. Protecting staff. Protecting you.
SupervisionIQ Group is a specialist supervision and conduct advisory firm dedicated to the Financial Services industry. The Groups’ founder has more than 20 years industry experience, much of that gained in the design and implementation of an industry leading supervision framework and enabling technology solution. A solution designed by front office practitioners, for front office practitioners.
While many solutions in the industry have been designed primarily for risk and compliance professionals in mind, the SupervisionIQ Group framework starts with the front office supervisor. In the age of ‘individual accountability’ and ensuring staff take ‘reasonable steps’ – it is critical front line staff have clear responsibilities and an ‘easy’ mechanism to fulfil these responsibilities. This not only protects all stakeholders involved but can also offer a competitive advantage when compared to other firms in the industry.
We are confident that our team’s unique experiences and focus will absolutely be an asset to your business. Contact us today to understand more about how SupervisionIQ Group can help your business.
Contact Us:
Our Services
Supervision & Conduct maturity assessment
Do all your supervisors know what their responsibilities are? Do they have all the information required to fulfil these responsibilities? Do your firms policies, processes, systems, people and governance structure, reenforce the right outcomes? Are these components optimised for the benefit of all internal and external stakeholders? SupervisionIQ Group can work with you to assess all these components and more.
Supervision & Conduct framework rollout
Do you require a complete reset of your Supervision & Conduct framework? SupervisionIQ Group can provide comprehensive supervision & conduct framework able to be rolled out across an enterprise or division. Equally it is able to be integrated into components of existing frameworks to minimise disruption to your firm – provide an integrated solution to your firms requirements
Supervision & Conduct workbench rollout
An effective Supervision & Conduct framework ensures the right information gets to the right people at the right time so they can make appropriate decisions. SupervisionIQ Group can offer a complete dashboard and workflow solution that reenforces the supervisory & conduct framework within your firm.
