The St. Louis Regional Chamber, in collaboration with Dr. Nitish Singh at Boeing Institute-Saint Louis University, is reaching out to compliance professionals to better understand the risks, challenges and trends in financial regulatory compliance.  

The results of this survey will be compiled in a report to inform college curriculum development and be shared with industry leaders.

* 1. Please indicate your industry sector (required).

* 2. What is your job function?

* 3. Please list years of experience in regulatory compliance.

* 4. Please rate the following financial regulatory compliance training topics on a scale of 1 to 5 (1 being the lowest in training importance and 5 being highest in training importance).

  Very low importance (1) Low importance Medium importance High importance Very high importance (5)
Securities law
Anti-money laundering
Privacy and data protection
Cybersecurity
Dodd-Frank Act
Foreign Corrupt Practices Act
Defending Securities Exchange Commission (SEC) exams
Defending Financial Industry Regulatory Authority (FINRA) exams
Defending National Futures Association (NFA) exams
Conducting internal investigations

* 5. Please rate the following general ethics and compliance training topics on a scale of 1 to 5 (1 being the lowest in training importance and 5 being highest in training importance).

  Very low importance (1) Low importance Medium importance High importance Very high importance (5)
Social media use
Anti-retaliation
Cybersecurity awareness
Ethical decision making
Bribery and corruption
Conflict of interest
Harassment
Code of conduct
Hot-line usage

* 6. Please rate the following regulatory compliance risks on a scale of 1 to 5 (1 being the highest in risk and 5 being the lowest in risk).

  Very high risk (1) High risk Medium risk Low risk Very low risk (5)
Bribery and corruption
Whistle blower and retaliation
Cybersecurity and privacy
Third-party related risks
Money laundering
Consumer protection
Conflict of interest
Governance and reporting
Confidentiality
Fraud and misconduct
Records management
Social media compliance
Antitrust
Insider trading

* 7. Please rate the following regulatory compliance costs on a scale of 1 to 5 (1 being highest in cost and 5 being lowest in cost).

  Very high cost (1) High cost Medium cost Low cost Very low cost (5)
Documentation
Reporting requirements
Monitoring of transactions (anti-money laundering)
Talent acquisition and retention
Training
Inspections and exams
Accounting and auditing
Litigation
Consultants and third party service providers
Data processing and automation

* 8. Please rate on a scale of 1 to 5 the frequency of use of the following key metrics or indicators to evaluate the effectiveness of financial regulatory compliance (1 being never use and 5 being always use).

  Never use (1) Rarely use Sometimes use Often use Always use (5)
Feedback from ethics surveys
Hotline call/compliant volume
Penalties/fines
Reported compliance policy violations
Training outcomes
Compliance audit outcomes
Conflict of interest disclosures
Audit review and analysis
Benchmarking data
Risk analysis results

* 9. Please rate on a scale of 1 to 5 the level of ease or difficulty experienced when working with regulators and examiners (1 being very difficult and 5 being very easy)

  Very difficult (1) Difficult Modestly difficult Easy Very easy (5)
Regulators
Examiners
If you would like to receive an analysis of the survey results, please provide your name and contact information.  Please note the summary will not identify any individuals.  The contact information is solely collected to distribute the summary report.

* 10. Name

* 11. Company

* 12. Job Title

* 13. E-mail Address

* 14. Mailing Address

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