Compliance Control Toolkit

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Be accountable for ensuring effective Stakeholder Management across the enterprise and holding functional leaders accountable to designing, implementing, and monitoring effective quality and Compliance Controls.

More Uses of the Compliance Control Toolkit:

  • Confirm your organization identifies control gaps/weaknesses and recommends control enhancements post testing to ensure department improvement in needed areas.

  • Systematize: work the cash register during shift times and makes sure registers are set up and stocked appropriately.

  • Oversee: monitor regulatory updates stay current on updates to current Regulatory Requirements and prepare internal and external stakeholders for changes.

  • Arrange that your corporation takes a risk based approach when analyzing risks and recommends process enhancements and controls so that the rigor and oversight are proportionate to the level of risk.

  • Assure your organization identifies procedural gaps and control weaknesses, and develops procedures to eliminate control gaps/weaknesses.

  • Advise investment teams, client businesses and Corporate Development regarding specific transactions and related conflicts.

  • Ensure you advance; recommend corrective and preventative actions for any identified weaknesses in Compliance Controls or systems and suggest changes to reduce safety risks.

  • Lead IT Compliance Control monitoring programs to ensure IT compliance related risks are managed to the appropriate level of acceptable residual risk.

  • Initiate: conduct necessary review and research to identify appropriate solutions or controls to minimize environmental risk and impacts.

  • Warrant that your project responds to inquiries concerning historical budgetary or financial information collaborating with other departments, divisions, and/or organizations.

  • Secure that your organization provides consultative guidance to internal business partners about contractual, regulatory, and ethical obligations to Mitigate Risks, drive revenue and improve profitability.

  • Evaluate: complete yearly compliance/Quality Control site review for all branch locations and internal department audits.

  • Provide timely and professional Customer Service to internal and external contacts to facilitate the processing of business.

  • Identify: review and decision low to moderately complex AML compliance system generated alerts/cases for possible suspicious or unusual activity.

  • Ensure service is delivered in line with agreed upon targets; Compliance Controls, procedures, quality audits, Service Level Agreements (SLAs) and Key Performance Indicators (KPIs).

  • Head: conduct and manage necessary IT Compliance Control monitoring and testing activities to determine the effectiveness of the controls.

  • Be certain that your organization performs Gap Analysis of obligations and partners with the business to implement controls to Mitigate Risks and to meet internal and External Audit expectations.

  • Oversee: implement a testing and monitoring program to determine the adequacy and effectiveness of Compliance Controls and develop periodic reporting on the test results.

  • Assure your organization performs complex administrative duties and statistical, financial and operational Data Analysis and reporting in support of management Decision Making in functional area.

  • Create and manage processes for monitoring Cybersecurity strategies, policies, Compliance Controls and programs to meet Business Needs.

  • Confirm your venture complies; directs and review current Compliance Processes and procedures to ensure efficiency, effectiveness, and cost containment.

  • Confirm you execute; lead necessary IT Compliance Control monitoring and testing activities to determine effectiveness of the controls and ensure deficiencies are remediated.

  • Drive efficiency in the compliance process through automation and rationalizing configuration / code based Compliance Controls over manual process and controls.

  • Warrant that your enterprise maintains records of compliance activities and reports compliance activities to the Compliance Office.

  • Utilize knowledge gained to determine best practices and work towards Continuous Improvement of departmental procedures, approach, etc.

  • Be accountable for executing Compliance Controls testing, transactional testing, or Compliance Controls monitoring activities based on the pre defined testing plan.

  • Systematize: research, identify, design, and develop new Information security or Compliance Controls for clients.

  • Drive: conduct appropriate levels of customer/consumer Due Diligence by gathering additional information necessary to know the customer/consumer and/or the nature and purpose of activity.

  • Arrange that your group analyzes, evaluate, and provides input to the valuation monitoring process to identify and highlight compliance risks/weaknesses.

  • Assure your business complies; plans and completes work with thoroughness, giving attention to specific information, and individual details, conditions, necessary record keeping, and elements of that work.


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

STEP 1: Get your bearings

Start with...

  • The latest quick edition of the Compliance Control 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 Control improvements can be made.

Examples; 10 of the 999 standard requirements:

  1. If no one would ever find out about your accomplishments, how would you lead differently?

  2. How do you measure efficient delivery of Compliance Control services?

  3. What are specific Compliance Control rules to follow?

  4. How do you lead with Compliance Control in mind?

  5. Can you adapt and adjust to changing Compliance Control situations?

  6. What are customers monitoring?

  7. What Compliance Control services do you require?

  8. What do you stand for--and what are you against?

  9. Do you recognize Compliance Control achievements?

  10. Do you have the right capabilities and capacities?

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 Control book in PDF containing 994 requirements, which criteria correspond to the criteria in...

Your Compliance Control 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 Control Self-Assessment and Scorecard you will develop a clear picture of which Compliance Control 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 Control 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 Control projects with the 62 implementation resources:

  • 62 step-by-step Compliance Control Project Management Form Templates covering over 1500 Compliance Control 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 Control project issues be unconditionally tracked through the Issue Resolution process?

  4. Closing Process Group: Did the Compliance Control project team have enough people to execute the Compliance Control 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 Control 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 Control Project Management Forms and Templates including check box criteria and templates.

1.0 Initiating Process Group:

2.0 Planning Process Group:

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 Control 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 Control project or Phase Close-Out
  • 5.4 Lessons Learned



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

In using the Toolkit you will be better able to:

  • Diagnose Compliance Control 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 Control 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 Control investments work better.

This Compliance Control 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.