Tagged: risk and compliance program assessment

Episode 10 — How to Conduct a Risk and Compliance Program Assessment

An effective ethics and compliance program requires a careful assessment of risks and existing controls.  In order to design and implement an effective program, a chief compliance officer has to identify and prioritize company risks.  In addition, a CCO has to review and understand how existing compliance controls mitigate existing risks. A risk assessment is the foundation of a compliance program, but has to incorporate a...

Webinar: The Importance of a Risk and Compliance Program Assessment

The Importance of a Risk and Compliance Program Assessment Wednesday, July 13, 2017, 12 noon EST Sign Up HERE An effective ethics and compliance program requires a careful assessment of risks and existing controls.  In order to design and implement an effective program, a chief compliance officer has to identify and prioritize company risks.  In addition, a CCO has to review and understand how existing compliance...

Forget About a Risk Assessment – Conduct a Risk AND Compliance Program Assessment

A Chief Compliance Officer can get lost in terms, titles, risk management solutions, effective services, magic bullets, absolute requirements and ultimately confusion. Whether the strategy is called lines of defense or some other moniker of professionalism and deep thought, the real work occurs in the trenches and with a practical eye to minimizing risks while protecting the company.  When a CCO adheres to common sense...