Compliance Function Toolkit

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Lead the information Security And Compliance Functions across your organization to ensure consistent and high quality Risk Management in support of the business goals.

More Uses of the Compliance Function Toolkit:

  • Be certain that your venture oversees Quality Assurance and Compliance Functions.

  • Evaluate Policies and Procedures related to Compliance Functions and document procedures that are needed or provide updates.

  • Provide application oversight and project delivery leadership for systems that directly support the corporate legal and Compliance Functions.

  • Coordinate: liaison with legal, Risk Management, Internal Audit, business partner compliance and other internal regulatory/Compliance Functions to mitigate contractual risk.

  • Ensure you create; lead and develop the Compliance Function for the Trust organization Business.

  • Ensure you execute; lead Information security governance, risk, and Compliance Function.

  • Pilot: organization policy and standards Compliance Functions are properly executed.

  • Move ahead with partner with other departments to build and enhance Compliance Functions.

  • Manage Compliance Functions and teams.

  • Develop and execute the vision for the partner Risk And Compliance Function.

  • Coordinate with legal, Compliance Functions to ensure proper implementation of Data Privacy legislation and disclosure.

  • Develop: throughout the performance of duties, clinical care reviewers provide a front line regulatory/Compliance Function in evaluation and application of the criteria.

  • Ensure you orchestrate; respond to Data Privacy incidents in conjunction with DPO, Legal, and other Compliance Functions.

  • Ensure your venture assumes primary day to day Compliance Functions of the plant with safe and productive operations.

  • Ensure appropriate level of assertiveness, maturity and guidance to effectively project the stature and importance of the Compliance Function across your organization.

  • Hire partner with other departments to build and enhance Compliance Functions.

  • Establish: over time, developing the SOX Compliance Function to move beyond SOX compliance and adding value across the end to end Financial Reporting controls process.

  • Pilot: along with Information security, also own the data and IT Compliance Function.

  • Oversee: Professional Services firm.

  • Help streamline, automate, and improve Compliance Functionality across various business lines.

 

Save time, empower your teams and effectively upgrade your processes with access to this practical Compliance Function Toolkit and guide. Address common challenges with best-practice templates, step-by-step Work Plans and maturity diagnostics for any Compliance Function related project.

Download the Toolkit and in Three Steps you will be guided from idea to implementation results.

The Toolkit contains the following practical and powerful enablers with new and updated Compliance Function specific requirements:


STEP 1: Get your bearings

Start with...

  • The latest quick edition of the Compliance Function Self Assessment book in PDF containing 49 requirements to perform a quickscan, get an overview and share with stakeholders.

Organized in a Data Driven improvement cycle RDMAICS (Recognize, Define, Measure, Analyze, Improve, Control and Sustain), check the…

  • Example pre-filled Self-Assessment Excel Dashboard to get familiar with results generation

Then find your goals...


STEP 2: Set concrete goals, tasks, dates and numbers you can track

Featuring 999 new and updated case-based questions, organized into seven core areas of Process Design, this Self-Assessment will help you identify areas in which Compliance Function improvements can be made.

Examples; 10 of the 999 standard requirements:

  1. What Compliance Function skills are most important?

  2. What is an unauthorized commitment?

  3. Is the scope of Compliance Function cost analysis cost-effective?

  4. How do you select, collect, align, and integrate Compliance Function data and information for tracking daily operations and overall organizational performance, including progress relative to Strategic Objectives and action plans?

  5. What can be used to verify compliance?

  6. Is there a high likelihood that any recommendations will achieve their intended results?

  7. Who do you report Compliance Function results to?

  8. What are your key Compliance Function indicators that you will measure, analyze and track?

  9. How do you measure success?

  10. At what cost?


Complete the self assessment, on your own or with a team in a workshop setting. Use the workbook together with the self assessment requirements spreadsheet:

  • The workbook is the latest in-depth complete edition of the Compliance Function book in PDF containing 994 requirements, which criteria correspond to the criteria in...

Your Compliance Function self-assessment dashboard which gives you your dynamically prioritized projects-ready tool and shows your organization exactly what to do next:

  • The Self-Assessment Excel Dashboard; with the Compliance Function Self-Assessment and Scorecard you will develop a clear picture of which Compliance Function areas need attention, which requirements you should focus on and who will be responsible for them:

    • Shows your organization instant insight in areas for improvement: Auto generates reports, radar chart for maturity assessment, insights per process and participant and bespoke, ready to use, RACI Matrix
    • Gives you a professional Dashboard to guide and perform a thorough Compliance Function Self-Assessment
    • Is secure: Ensures offline Data Protection of your Self-Assessment results
    • Dynamically prioritized projects-ready RACI Matrix shows your organization exactly what to do next:

 

STEP 3: Implement, Track, follow up and revise strategy

The outcomes of STEP 2, the self assessment, are the inputs for STEP 3; Start and manage Compliance Function projects with the 62 implementation resources:

  • 62 step-by-step Compliance Function Project Management Form Templates covering over 1500 Compliance Function project requirements and success criteria:

Examples; 10 of the check box criteria:

  1. Cost Management Plan: Eac -estimate at completion, what is the total job expected to cost?

  2. Activity Cost Estimates: In which phase of the Acquisition Process cycle does source qualifications reside?

  3. Project Scope Statement: Will all Compliance Function project issues be unconditionally tracked through the Issue Resolution process?

  4. Closing Process Group: Did the Compliance Function Project Team have enough people to execute the Compliance Function project plan?

  5. Source Selection Criteria: What are the guidelines regarding award without considerations?

  6. Scope Management Plan: Are Corrective Actions taken when actual results are substantially different from detailed Compliance Function project plan (variances)?

  7. Initiating Process Group: During which stage of Risk planning are risks prioritized based on probability and impact?

  8. Cost Management Plan: Is your organization certified as a supplier, wholesaler, regular dealer, or manufacturer of corresponding products/supplies?

  9. Procurement Audit: Was a formal review of tenders received undertaken?

  10. Activity Cost Estimates: What procedures are put in place regarding bidding and cost comparisons, if any?

 
Step-by-step and complete Compliance Function Project Management Forms and Templates including check box criteria and templates.

1.0 Initiating Process Group:


2.0 Planning Process Group:

  • 2.1 Compliance Function Project Management Plan
  • 2.2 Scope Management Plan
  • 2.3 Requirements Management Plan
  • 2.4 Requirements Documentation
  • 2.5 Requirements Traceability Matrix
  • 2.6 Compliance Function project Scope Statement
  • 2.7 Assumption and Constraint Log
  • 2.8 Work Breakdown Structure
  • 2.9 WBS Dictionary
  • 2.10 Schedule Management Plan
  • 2.11 Activity List
  • 2.12 Activity Attributes
  • 2.13 Milestone List
  • 2.14 Network Diagram
  • 2.15 Activity Resource Requirements
  • 2.16 Resource Breakdown Structure
  • 2.17 Activity Duration Estimates
  • 2.18 Duration Estimating Worksheet
  • 2.19 Compliance Function project Schedule
  • 2.20 Cost Management Plan
  • 2.21 Activity Cost Estimates
  • 2.22 Cost Estimating Worksheet
  • 2.23 Cost Baseline
  • 2.24 Quality Management Plan
  • 2.25 Quality Metrics
  • 2.26 Process Improvement Plan
  • 2.27 Responsibility Assignment Matrix
  • 2.28 Roles and Responsibilities
  • 2.29 Human Resource Management Plan
  • 2.30 Communications Management Plan
  • 2.31 Risk Management Plan
  • 2.32 Risk Register
  • 2.33 Probability and Impact Assessment
  • 2.34 Probability and Impact Matrix
  • 2.35 Risk Data Sheet
  • 2.36 Procurement Management Plan
  • 2.37 Source Selection Criteria
  • 2.38 Stakeholder Management Plan
  • 2.39 Change Management Plan


3.0 Executing Process Group:

  • 3.1 Team Member Status Report
  • 3.2 Change Request
  • 3.3 Change Log
  • 3.4 Decision Log
  • 3.5 Quality Audit
  • 3.6 Team Directory
  • 3.7 Team Operating Agreement
  • 3.8 Team Performance Assessment
  • 3.9 Team Member Performance Assessment
  • 3.10 Issue Log


4.0 Monitoring and Controlling Process Group:

  • 4.1 Compliance Function project Performance Report
  • 4.2 Variance Analysis
  • 4.3 Earned Value Status
  • 4.4 Risk Audit
  • 4.5 Contractor Status Report
  • 4.6 Formal Acceptance


5.0 Closing Process Group:

  • 5.1 Procurement Audit
  • 5.2 Contract Close-Out
  • 5.3 Compliance Function project or Phase Close-Out
  • 5.4 Lessons Learned

 

Results

With this Three Step process you will have all the tools you need for any Compliance Function project with this in-depth Compliance Function Toolkit.

In using the Toolkit you will be better able to:

  • Diagnose Compliance Function projects, initiatives, organizations, businesses and processes using accepted diagnostic standards and practices
  • Implement evidence-based best practice strategies aligned with overall goals
  • Integrate recent advances in Compliance Function and put Process Design strategies into practice according to best practice guidelines

Defining, designing, creating, and implementing a process to solve a business challenge or meet a business objective is the most valuable role; In EVERY company, organization and department.

Unless you are talking a one-time, single-use project within a business, there should be a process. Whether that process is managed and implemented by humans, AI, or a combination of the two, it needs to be designed by someone with a complex enough perspective to ask the right questions. Someone capable of asking the right questions and step back and say, 'What are we really trying to accomplish here? And is there a different way to look at it?'

This Toolkit empowers people to do just that - whether their title is entrepreneur, manager, consultant, (Vice-)President, CxO etc... - they are the people who rule the future. They are the person who asks the right questions to make Compliance Function investments work better.

This Compliance Function All-Inclusive Toolkit enables You to be that person.

 

Includes lifetime updates

Every self assessment comes with Lifetime Updates and Lifetime Free Updated Books. Lifetime Updates is an industry-first feature which allows you to receive verified self assessment updates, ensuring you always have the most accurate information at your fingertips.