SESSION 1: Starting with the End Results in Mind: Tips for Remote Supervision and Remote Audits

As a result of having migrated to working from home, many financial firms implemented remote supervision plans that included remote inspections.  Attendees will learn how remote supervision and remote auditing fit into the larger trend of decentralization.  This session will review considerations of remote supervision programs and will offer practical tools, including checklists and guidelines.

Learning Objectives:

  • Analyze various pitfalls of remote work environments for firms to be mindful of for supervisory purposes
  • Consider remote supervision issues for firms that are not digitally advanced
  • Discuss the expectations and effectiveness of remote auditing
  • Identify red flags that may require additional review or on-site follow-up
  • Map the post-pandemic road forward as firm personnel ask to work remotely