BAI Webinar

Aligning your policies and procedures to improve compliance, productivity, and customer experience

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RECORDED: June 29, 2023
TIME: 1:00 - 2:00 PM CT

Policies and procedures serve as the blueprints for both financial institutions and non-banks to translate their business strategies and legal and financial obligations into action. This documentation helps to meet regulatory requirements, build trust with stakeholders, and achieve business goals in a consistent manner throughout the organization. Working together, they clarify what an institution will do and how they will do it.

When aligned, policies and procedures promote efficiency, customer satisfaction and regulatory compliance. Employees in the same role follow the same guidelines. Customers receive more consistent service. The institution has a more complete plan to identify, monitor and mitigate risks. With this strong foundation, institutions can pivot more easily to comply with new regulations, incorporate new offerings, and address market changes.

Creating and aligning policies and procedures is not a “one and done” solution. Regulators will periodically review them to ensure they reflect new regulations, are adapted based on the department’s function (e.g., Marketing and Operations) and developed for new offerings, like Banking as a Service or instant payments.

In this webinar, we’ll present ideas for keeping policies and procedures aligned, while supporting the organization’s business model. We’ll also consider the customer experience and how policies and procedures must reflect evolving customer needs and preferences. Please join us for 60 minutes including a Q&A session.

Key Takeaways:

  • Identify how changes in customer needs, new products and services, and industry regulations may necessitate a review of policies
  • Factors to consider when creating or updating policies and procedures
  • Preparing for examiners’ review – why it’s critical to align policies and procedures and adjust for different functions
  • Using automation – the value of automating workflows and approval processes
  • Keys to success – including communicating, monitoring and updating policies and procedures as part of a culture of compliance


Steven Ramirez
Beyond the Arc

Steven is a strategic advisor with over twenty years of experience working with technology, fintech, and financial services companies. His expertise focuses on developing data-driven strategies to strengthen customer experience, marketing and operations.

Steven is a popular industry analyst, writer, and speaker in financial services and fintech. His insights have appeared in BAI Banking Strategies, American Banker, Financial Brand, and other industry publications. He has presented on customer experience, fintech, and digital trends at BAI events, Finovate, American Banker’s Financial Services Marketing Forum, CRM Evolution, Financial Brand Forum, and more. As the CEO of customer experience agency Beyond the Arc, his clients include banks, fintech companies, and banking associations. Steven earned his BA and MBA from the University of California, Berkeley.