Websites
The location of policy applicability for Ather’s Organization (SDI)
SDI Policy Inventory
Who is the Policy Liason for Ather’s Organization?
Technically Randy but Roger will be (either is correct)
What is the name of the official Teamworks page that holds resources for policy topics
Policy Resource Center
What is the first phase of the PMRC Lifecycle?
Intake
What level of business procedure covers all of Ather’s organization?
L2
Name 2 types of self service reports that PMRC provides and where can you find them?
PMRC - RoundTable
Community of Practice
Policy Inventory
Exceptions and Violations
Who is the Payment Strategy CAU Policy Contact
Jason Chiu
What is the section of a policy or procedure that names the Policy/Procedure owner
Document Information
What does GAIP stand for
Gap Assessment and Implementation Plan
Where are SDI business procedures held
What website can you go to, to find information about a Control?
Shared Risk Platform (SHRP)
What is Stephen Long’s full title (hint 4 letter acrynom)
Operational Risk Business Oversight
What is the main difference between a policy and a procedure
Policies establishes the “what” procedures establishes the “how”
Name 4 BGE Risk Programs
Reg W / Model / Reg K / AntiCompettive Behavior / Fin / Fraud / Reputation Risk / Operational Risk Events / Records / SAA / BLSA / Volker / EUCT / NBI / Notary & Affiant / Required Absence / IS / ACED / Third Party / Conduct Risk /
Name 3 of the 6 implementation approach types
Business Proceudres
Enterprise and Business Procedures
Enterprise Procedure / No Implementation Required
No Procedures / No Implementation Required
No Implementation Required
What is the name of the website to find Regulatory Change Alerts?
EARL
Business Control Manager / Collin Ferguson & Shane Meduski
How many policies does Ather’s Org (SDI) Own and name them.
2: Strategic Planning Policy / Digital Properties Policy
Who joins the PMRC RoundTable and Community of Practice Call
CAU Points of Contact / BACO / ORBO / BCM / PMRC Team / Other SMEs
What font style and size is the content section of a business procedure
Wells Fargo Sans, 10
What website is used to submit/manage Exceptions and Violation and who manages that process?
Policy Governance Platform / Cathy and Roger
Who is Ohrn and their full title?
Business Aligned Compliance Officer BACO - Winson Ohrn
What is the current applicable policy count for Ather’s org?
137
How many controls does PMRC have?
4
SDI Weekly Policy Change Intake
SDI Weekly Policy Change disposition Monitoring Routine
SDI Monthly Policy Management and Regulatory Change Communication Routine
PMRC Policy Exceptions Violations
What month and year is the most recent EPO Business Procedure Template
August 2023