1. COUNCIL MEETING 2014

2. NAVEX Global 2014 Solution Updates

3. WHAT HAVE WE ACCOMPLISHED? WHAT DO WE HAVE PLANNED?
WHAT DID
WE DISCUSS
LAST YEAR?
WHAT HAVE WE ACCOMPLISHED?
WHAT DO WE HAVE PLANNED?
NAVEX Global Advisory Council 2014

4. Annual Certifications Integrated Compliance Data PROFESSIONAL SERVICES
Ethics & Compliance Ecosystem
Ad-Hoc Reporting
Third Party Risk Mgmt.
Online Training
Policy Management
Case Management
Expanded Intake
Annual Certifications
Hotline
Integrated Compliance Data
ADVISORY SERVICES
PROFESSIONAL SERVICES
NAVEX Global Gateway
Employee Awareness
NAVEX Global Advisory Council 2014

5. Third Party Risk Management

6. Use of Third Parties is Increasing… But Vetting Them Isn’t.
NAVEX Global’s survey of 300+ global compliance officers – conducted in July 2013 – revealed:
Of the respondents indicated either that they would increase the use of third parties in the coming 12 months or weren’t sure.
Indicated they do not track information on any or all of their third party relationships, exposing themselves to significant ethics and compliance risks.
HOWEVER
NAVEX Global Advisory Council 2014

7. Third Party Risk: A Complex Network of Relationships
NAVEX Global Advisory Council 2014
NAVEX Global Advisory Council 2014

8. Third Party Risk: A Complex Network of Relationships
Dealers / Resellers
NAVEX Global Advisory Council 2014
NAVEX Global Advisory Council 2014

9. Screen Monitor Assess Mitigate
Screen: Understand the inherent risks to your organization prior to performing due diligence. Batch screen for added efficiencies.
Monitor
Assess
Risk Assessment: Continuous best-in-class assessment process that provides a comprehensive view into complete third-party risk.
Ongoing Monitoring: Continuous low level and periodic higher level re-screening process that identifies change in third-party risks, ensures information is kept current, and continued compliance to client policies.
Mitigate
Risk Mitigation and Action Steps: Third-party risk mitigation policies dictate the activities that must be taken by both the third party and you.
NAVEX Global Advisory Council 2014

10. English Japanese Spanish Chinese French Portuguese German Turkish
NAVEX Global Advisory Council 2014

11. Policy Management

12. Policy Management Lifecycle
Create
PUBLISH / archive
Draft
Review
Approval
Distribute
Certification
Document owner
Publish
Policy draft
Queue for Later
Release
Archive
NAVEX Global Advisory Council 2014

13. Policy Management Lifecycle
Attest
Survey
Quiz
Create a Case
NAVEX Global Advisory Council 2014

14. Policy Management Lifecycle
NAVEX Global Advisory Council 2014

15. Online Training

16. Full-Length Courses & Mobile Enabled Burst Learning
NAVEX Global Advisory Council 2014

17. NAVEX Exchange
NAVEX Global Advisory Council 2014

18. Case Management

19. RELIABLE ANALYTICS and BUSINESS INTELLIGENCE
Case Management
CONSISTENT PROCESSES
and WORKFLOW
Consistent data collection »
« From multiple sources
Hotline
Web Reporting
Report Forms
Client Systems
NAVEX Global Advisory Council 2014

20. NAVEX Global Gateway

21. Annual Certifications Integrated Compliance Data PROFESSIONAL SERVICES
Ethics & Compliance Ecosystem
Ad-Hoc Reporting
Third Party Risk Mgmt.
Online Training
Policy Management
Case Management
Expanded Intake
Annual Certifications
Hotline
Integrated Compliance Data
ADVISORY SERVICES
PROFESSIONAL SERVICES
NAVEX Global Gateway
Employee Awareness
NAVEX Global Advisory Council 2014

22. Gateway Home Page Dashboard
NAVEX Global Advisory Council 2014

23. Integration Plan

24. Annual Certifications Integrated Compliance Data PROFESSIONAL SERVICES
Ethics & Compliance Ecosystem
Ad-Hoc Reporting
Third Party Risk Mgmt.
Online Training
Policy Management
Case Management
Expanded Intake
Annual Certifications
Hotline
Integrated Compliance Data
ADVISORY SERVICES
PROFESSIONAL SERVICES
NAVEX Global Gateway
Employee Awareness
NAVEX Global Advisory Council 2014

25. Annual Certifications Integrated Compliance Data PROFESSIONAL SERVICES
Ethics & Compliance Ecosystem
Ad-Hoc Reporting
Third Party Risk Mgmt.
Online Training
Policy Management
Case Management
Expanded Intake
Annual Certifications
Hotline
Integrated Compliance Data
ADVISORY SERVICES
PROFESSIONAL SERVICES
NAVEX Global Gateway
Employee Awareness
NAVEX Global Advisory Council 2014

26. Annual Certifications Integrated Compliance Data PROFESSIONAL SERVICES
Ethics & Compliance Ecosystem
Ad-Hoc Reporting
Third Party Risk Mgmt.
Online Training
Policy Management
Case Management
Expanded Intake
Annual Certifications
Hotline
Integrated Compliance Data
ADVISORY SERVICES
PROFESSIONAL SERVICES
NAVEX Global Gateway
Employee Awareness
NAVEX Global Advisory Council 2014

27. Annual Certifications Integrated Compliance Data PROFESSIONAL SERVICES
Ethics & Compliance Ecosystem
Ad-Hoc Reporting
Third Party Risk Mgmt.
Online Training
Policy Management
Case Management
Expanded Intake
Annual Certifications
Hotline
Integrated Compliance Data
ADVISORY SERVICES
PROFESSIONAL SERVICES
NAVEX Global Gateway
Employee Awareness
NAVEX Global Advisory Council 2014

28. Annual Certifications Integrated Compliance Data PROFESSIONAL SERVICES
Ethics & Compliance Ecosystem
Ad-Hoc Reporting
Third Party Risk Mgmt.
Online Training
Policy Management
Case Management
Expanded Intake
Annual Certifications
Hotline
Integrated Compliance Data
ADVISORY SERVICES
PROFESSIONAL SERVICES
NAVEX Global Gateway
Employee Awareness a
NAVEX Global Advisory Council 2014

29. Annual Certifications Integrated Compliance Data PROFESSIONAL SERVICES
Ethics & Compliance Ecosystem
Ad-Hoc Reporting
Third Party Risk Mgmt.
Online Training
Policy Management
Case Management
Expanded Intake
Annual Certifications
Hotline
Integrated Compliance Data
ADVISORY SERVICES
PROFESSIONAL SERVICES
NAVEX Global Gateway
Employee Awareness
NAVEX Global Advisory Council 2014

30. 11/10/2018
Telephony

31. Telephony Defined
Telephony is everything that happens with the Hotline service from the time the caller dials the number up to the time a live Communication Specialist answers the call.
NAVEX Global Advisory Council 2014

32. Employee Awareness
NAVEX Global Advisory Council 2014

33. EMEA

34. Data Center Contact Center UK Office Sales Services Client care
Implementation
PSO
NAVEX Global Advisory Council 2014

35. Bob Conlin President & Chief Operating Officer bconlin@navexglobal.com
Thank you
Bob Conlin
President & Chief Operating Officer