Risk and Compliance System Dynamics

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1 Risk and Compliance System Dynamics Robert Judson Greg Szwartz Business and Systems Aligned. Business Empowered. TM

2 Authors This presentation was prepared by: Robert Judson, Senior Manager BearingPoint 1676 International Drive McLean, VA Tel: Greg Szwartz, Manager BearingPoint One Radnor Corporate Center 100 Matsonford Road, Suite 500 Radnor, PA Tel: This document is protected under the copyright laws of the United States and other countries as an unpublished work. This document contains information that is proprietary and confidential to BearingPoint or its technical alliance partners, which shall not be disclosed outside or duplicated, used, or disclosed in whole or in part for any purpose other than to evaluate BearingPoint. Any use or disclosure in whole or in part of this information without the express written permission of BearingPoint is prohibited BearingPoint (Unpublished). All rights reserved BearingPoint, Inc. Decision Support Services 1

3 Project: New Risk Id/Compliance System and Procedures Implementation A new is to be put in place to increase and resolution Noncompliant events increase risk There is a concern that the will not be used to its full capacity and effectiveness Users could game the. Companywide implications of the rollout include: IT and technical obstacles to success Increased pressure on human resources Leadership challenges to upper level management Potential shortterm effects on customer trust Our major assumption is that the will have to be used by staff who might otherwise be spend more time selling and meeting sales quotas. NonCompliant Events NonCompliant Events Identified 2002 BearingPoint, Inc. Decision Support Services 2

4 A new & policy are aimed at increasing non NonCompliant Events NonCompliant Events Identified new and policy 2002 BearingPoint, Inc. Decision Support Services 3

5 Effectiveness of the is balanced by backlogs decreasing the use NonCompliant Events NonCompliant Events Identified use 2002 BearingPoint, Inc. Decision Support Services 4

6 Increased work the same loop in the opposite direction NonCompliant Events NonCompliant Events Identified use 2002 BearingPoint, Inc. Decision Support Services 5

7 Willingness to use the decreases as the position vs quota drops (with less sales), again balancing the s effectiveness NonCompliant Events NonCompliant Events Identified Noncompliant use time spent on sales Sales/Trader Behavior Loop revenues position vs quota Cash expenses 2002 BearingPoint, Inc. Decision Support Services 6

8 Decreased position vs quota sets off a reinforcing cycle by which attrition leads to decreased sales productivity and additional quota pressure NonCompliant Events NonCompliant Events Identified use Rookies new hires time spent on sales revenues position vs quota training Experienced Staff attrition experience level of staff Cash expenses sales productivity Disgruntled Sales Force Loop 2002 BearingPoint, Inc. Decision Support Services 7

9 Policies to increase retention should be implemented along with the new NonCompliant Events NonCompliant Events Identified use Rookies new hires time spent on sales Cash revenues expenses position vs quota policies to increase retention sales productivity training Experienced Staff attrition experience level of staff 2002 BearingPoint, Inc. Decision Support Services 8

10 Without to increase retention, attrition may have the most damaging of all unintended consequences: NonCompliant Events NonCompliant Events Identified use Rookies new hires time spent on sales revenues position vs quota training Experienced Staff attrition experience level of staff Cash expenses sales productivity 2002 BearingPoint, Inc. Decision Support Services 9

11 If the new do increase events, customer trust will decrease and litigation costs will increase over time NonCompliant Events NonCompliant Events Identified customer trust frequency of event exposure time spent on sales litigation costs Cash revenues expenses use position vs quota policies to increase retention Rookies new hires training Experienced Staff attrition experience level of staff sales productivity 2002 BearingPoint, Inc. Decision Support Services 10

12 Customer trust can also be hurt in the short term as non events are identified. This should be the focus of a marketing campaign. NonCompliant Events NonCompliant Events Identified customer trust marketing frequency of event exposure time spent on sales litigation costs Cash revenues expenses use position vs quota policies to increase retention sales productivity Rookies new hires training Experienced Staff attrition experience level of staff 2002 BearingPoint, Inc. Decision Support Services 11

13 Rewarding sales staff for is another policy to consider, but would rewarding whistleblowing have other feedbacks? NonCompliant Events NonCompliant Events Identified customer trust marketing frequency of event exposure time spent on sales litigation costs Cash rewards for event id revenues expenses use position vs quota policies to increase retention sales productivity Rookies new hires training Experienced Staff attrition experience level of staff 2002 BearingPoint, Inc. Decision Support Services 12

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