Compliance Risk Management Toolkit

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

STEP 1: Get your bearings

Start with...


• The latest quick edition of the Compliance Risk Management 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 992 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 Risk Management improvements can be made.

Examples; 10 of the 992 standard requirements:


1. Do senior management and the board understand that the threat of cyberattacks involving extortion increases your organizations liquidity, capital, operational, compliance and reputation risks?
   
   

2. How are senior IT executives working with, and learning from, the partners in the legal, compliance and risk management functions to build and strengthen the own relationships with regulators?
   
   

3. Has an effective risk management policy and plan to ensure the identification, management and monitoring of all material risks facing your organization (including IT and compliance risk)?
   
   

4. Are there shorter, more targeted training sessions to enable employees to timely identify and raise issues to appropriate compliance, internal audit, or other risk management functions?
   
   

5. Does management know what the true cost of compliance is and, if so, has the cost of administering compliance processes become expensive enough to warrant closer attention?
   
   

6. Are there opportunities to renegotiate software licensing agreements based on the way you actually utilize software versus the way original contracts were negotiated?
   
   

7. How is it working with the finance, compliance and/or risk function to improve the effectiveness and efficiency of its compliance management program and processes?
   
   

8. Is the board/audit committee satisfied with managements assurances in relation to your organizations risk management and internal control and compliance systems?
   
   

9. How are internal reviews used to help verify and provide assurance regarding the operating effectiveness of risk management, compliance, and control functions?
   
   

10. Do your organizations internal audit processes independently verify the effectiveness of your organizations compliance, control and risk management functions?
    
    


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 Risk Management book in PDF containing 992 requirements, which criteria correspond to the criteria in...


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


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


Examples; 10 of the check box criteria:


1. Requirements Management Plan: The wbs is developed as part of a joint planning session. and how do you know that youhave done this right?
   
   

2. Scope Management Plan: Quality standards - are controls in place to ensure that the work was not only completed and also completed to meet specific standards?
   
   

3. Requirements Documentation: How do you get the user to tell you what they want?
   
   

4. Probability and Impact Assessment: Do the people have the right combinations of skills?
   
   

5. Risk Audit: From an empirical perspective, does the business risk approach lead to a more effective audit, or simply to increased consulting revenue detrimental to audit rigor?
   
   

6. Team Directory: Process decisions: are contractors adequately prosecuting the work?
   
   

7. Procurement Management Plan: What is the last item a Compliance Risk Management project manager must do to finalize Compliance Risk Management project close-out?
   
   

8. Stakeholder Management Plan: Is the assigned Compliance Risk Management project manager a PMP (Certified Compliance Risk Management project manager) and experienced?
   
   

9. Lessons Learned: Was there enough support – guidance, clerical support, training?
   
   

10. Executing Process Group: What does it mean to take a systems view of a Compliance Risk Management project?


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

1.0 Initiating Process Group:


• 1.1 Compliance Risk Management project Charter

• 1.2 Stakeholder Register

• 1.3 Stakeholder Analysis Matrix


2.0 Planning Process Group:


• 2.1 Compliance Risk Management 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 Risk Management 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 Risk Management 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 Risk Management 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 Risk Management 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 Risk Management project with this in-depth Compliance Risk Management Toolkit.

In using the Toolkit you will be better able to:


• Diagnose Compliance Risk Management 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 Risk Management 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 Risk Management investments work better.

This Compliance Risk Management 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.