Compliance Risk Toolkit

$395.00
(No reviews yet) Write a Review
Availability:
Downloadable Resources, Instant Access

Develop Compliance Risk: management of compliance/regulatory controls and support of the internal and External Audit process.

More Uses of the Compliance Risk Toolkit:

  • Help with the execution of complex privacy engagements assessment, architecture, design, implementation, ongoing run support to understand Compliance Risks, Identify Opportunities For Improvement, and remediation in line with compliance goals and business strategies.

  • Manage work with the Compliance Risk Assessment Team to align practices where possible and identify synergies.

  • Drive Compliance Risk: aggregate and review risk committee materials across team to ensure appropriate evaluation of program effectiveness and stated Compliance Risk is communicated to leadership.

  • Operationalize Compliance Risk Management, and work with databases to capture and tell stories about risk metrics.

  • Collaborate with stakeholders across organization to gain insight into Compliance Risks associated with Line Of Business activities, objectives, practices, processes, and overall Control Environment.

  • Manage Security And Compliance Risks in Service Delivery for key Verticals and communicate with Business teams to understand all critical security requirements and risk scenarios.

  • Analyze findings and perform Root Cause Analysis, distinguishing between various levels of Compliance Risk.

  • Manage Compliance Risk: review and assess other client risks beyond credIT Risk (reputational, regulatory, and Compliance Risk).

  • Oversee, credibly challenge and assess the Line Of Business environment with respect to managing and mitigating Compliance Risk and establish processes to ensure effective and timely implementation of regulatory change requirements applicable to the group.

  • Confirm your organization leads and executes Compliance Risk Management activities to reasonably ensure compliance with the Enterprise Compliance Management Policy and Framework.

  • Manage work with process owners to develop, implement, and monitor the completion of appropriate Compliance Risk remediation plans.

  • Ensure you can act as a bridge between compliance business, vendors, Design And Technology Teams or functions in order to develop products which meet holistic Business Needs and reduce Compliance Risk.

  • Be accountable for developing and establishing organization wide Compliance Risk Management systems in line with Policies and Procedures to mitigate risks.

  • Oversee the efforts of business units and other risk areas in the development and implementation of policies, procedures and processes to minimize Compliance Risks.

  • Perform monitoring and testing of assigned Compliance Risks, procedures and controls in support of the Compliance Departments annual work plan and monitoring and testing schedule.

  • Identify, measure monitor and report the level of, and mitigation efforts around your organizations operational risks, with a focus on fraud, information technology, Information security and Compliance Risks.

  • Warrant that your business establishes and executes an independent Compliance Monitoring program based on the results of the consumer Compliance Risk Assessment.

  • Manage work with leadership to identify opportunities where information quality services can improve operational Business Process efficiency, Reduce Costs, and reduce Regulatory Compliance Risks and penalty costs.

  • Confirm your design complies; monitors and measures Compliance Risk through a robust control framework and ensures that review are conducted consistently across each entity on a regular basis to confirm that controls identified are operating effectively.

  • Ensure you conduct; lead and manage compliance review/audits and Risk Assessments to identify Compliance Risks and implement programmatic improvements to close Internal Controls gaps or deficiencies.

  • Arrange that your enterprise protects your organization against regulatory and Compliance Risks by supporting the Business Continuity plan, privacy policy, Security Audits and assessments responses, Vendor Management, Information security Policy and related policies.

  • Support level of effort scoping by soliciting relevant information from potential customers in terms of Security Compliance requirements and system complexity.

  • Manage Compliance Risk: biz op teams also focus on Risk Management by tying all your activities together with an overarching responsibility for compliance and Risk Mitigation across all your environments.

  • Steer Compliance Risk: review Environmental Compliance measures daily.

  • Confirm your venture provides advanced architecture and Engineering Support to automate and administration identity and Compliance Requirements into all enterprise Information Systems.

  • Control Compliance Risk: leverage the corporate incident Case Management solution to document and report on incidents to meet audit, compliance and legal requirements.

  • Oversee enforcement and compliance with Corporate IT Security Policies, deploy Corporate Security devices and Network Monitoring systems.

  • Interact with customers, military, vendors and regulatory departments to negotiate quality procedures and problem resolutions which are in compliance with requirements.

  • Control Compliance Risk: conduct daily process audits to ensure compliance of the team to established standards, Policies and Procedures for safety, quality, delivery and cost.

  • Be accountable for ensuring timely and independent compliance with all management directives and Performance Management standards.

  • Confirm your organization reduces the risk of technological breaches and protects sensitive digital information; ensures that backup/recovery plans and security standards exist and are followed for all systems; ensures proper performance, security, and monitoring of all technologies and platforms.

  • Supervise Compliance Risk: Critical Thinking using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems.

 

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


STEP 1: Get your bearings

Start with...

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

Examples; 10 of the 999 standard requirements:

  1. Who manages Compliance Risk risk?

  2. How will the Compliance Risk Data be captured?

  3. What, related to, Compliance Risk processes does your organization outsource?

  4. Is supporting Compliance Risk documentation required?

  5. How are you verifying it?

  6. How can you best use all of your knowledge repositories to enhancE Learning and sharing?

  7. Which individuals, teams or departments will be involved in Compliance Risk?

  8. What could cause delays in the schedule?

  9. Is Compliance Risk documentation maintained?

  10. What activities does the governance board need to consider?


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

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

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

  4. Closing Process Group: Did the Compliance Risk Project Team have enough people to execute the Compliance Risk 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 Risk 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 Risk 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 Risk 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 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 project with this in-depth Compliance Risk Toolkit.

In using the Toolkit you will be better able to:

  • Diagnose Compliance Risk 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 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 investments work better.

This Compliance Risk 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.