Risk Management and Compliance Toolkit

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Communicate risk management to your organization

 

How Do you communicate risk management to your organization?

Has your organization entered into an information security risk insurance policy?

Will internal audits be focusing on the highest risk areas of your organization?

How embedded is the risk culture within your organization?

Will future internal auditors require Risk Management and Compliance training?




...Find the answers to these, and more, questions with this Risk Management and Compliance Toolkit:

  • Proactively manage the magnitude of risks, compliance obligations and issues facing your business.
  • Improve your compliance process and protect your organization.
  • Identify common control issues across your organization.
  • Obtain information about your supply chain compliance requirements.
  • Reduce and control the various risks in your organization.
  • Export your compliance culture and code of ethics to other geographies.
  • Start your risk management journey.
  • Use your upcoming acquisition to streamline and integrate your compliance program.
  • Determine that your compliance program complies with all applicable rules.



HOW THIS TOOLKIT WORKS:

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


STEP 1: Get your bearings

Start with...

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

Examples; 10 of the 999 standard requirements:

  1. Has it prioritized its high impact, low likelihood risks in terms of reputational effect, velocity to impact and persistence of impact, as well as the enterprises response readiness?

  2. Do the board and senior management have a shared view as to whether your organizations culture fosters open communication and transparency regarding compliance issues?

  3. Are there effective escalation processes to ensure significant problems are recognized and addressed at the appropriate level of your organization?

  4. How can the compliance function reduce costs, meet expanding expectations and get in front of regulatory and operational pressures?

  5. What fines, reputation costs, and other liabilities can be traced to your fragmented approach to risk management and compliance?

  6. How well does your organization understand the collection, use and disclosure of personally identifiable information?

  7. What are the business goals that need to be achieved through legal management, risk management and compliance?

  8. How do other organizations know when the email management practices are properly designed to meet the needs?

  9. What methodology has your organization used to identify, analyze, and address the particular risks it faced?

  10. Does internal audit ensure that your organizations risk governance framework complies with the guidelines?


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 Risk Management and Compliance book in PDF containing 999 requirements, which criteria correspond to the criteria in...

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

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

Examples; 10 of the check box criteria:

  1. Responsibility Assignment Matrix: If a role has only Signing-off, or only Communicating responsibility and has no Performing, Accountable, or Monitoring responsibility, is it necessary?

  2. Responsibility Assignment Matrix: Are significant decision points, constraints, and interfaces identified as key milestones?

  3. Probability and Impact Matrix: What are the probable external agencies to act as Risk Management and Compliance project manager?

  4. Stakeholder Analysis Matrix: Are the interests in line with the program objectives?

  5. Schedule Management Plan: Were Risk Management and Compliance project team members involved in the development of activity & task decomposition?

  6. WBS Dictionary: Identify potential or actual overruns and underruns?

  7. Activity Duration Estimates: Are processes defined to monitor Risk Management and Compliance project cost and schedule variances?

  8. Procurement Audit: Is the purchasing department organizationally independent of the departments using that function?

  9. Risk Audit: When your organization is entering into a major contract, does it seek legal advice?

  10. Lessons Learned: How satisfied are you with your involvement in the development and/or review of the Risk Management and Compliance project Scope during Risk Management and Compliance project Initiation and Planning?

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

1.0 Initiating Process Group:

  • 1.1 Risk Management and Compliance project Charter
  • 1.2 Stakeholder Register
  • 1.3 Stakeholder Analysis Matrix


2.0 Planning Process Group:

  • 2.1 Risk Management and Compliance project Management Plan
  • 2.2 Scope Management Plan
  • 2.3 Requirements Management Plan
  • 2.4 Requirements Documentation
  • 2.5 Requirements Traceability Matrix
  • 2.6 Risk Management and Compliance 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 Risk Management and Compliance 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 Risk Management and Compliance 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 Risk Management and Compliance 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 Risk Management and Compliance project with this in-depth Risk Management and Compliance Toolkit.

In using the Toolkit you will be better able to:

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

This Risk Management and Compliance 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.





TRUSTED BY NEARLY 200.000 PROFESSIONALS:


'I used the questionnaires to interview members of my team. I never knew how many insights we could produce collectively with our internal knowledge.'

'After purchasing The Art of Service toolkit, I was able to identify areas where my company was not in compliance that could have put my job at risk. I looked like a hero when I proactively educated my team on the risks and presented a solid solution.'

'I customized The Art of Service toolkit to focus specifically on the concerns of my role and industry. I did not have to waste time with a generic self-help book that wasnt tailored to my exact situation.'

'Everyday there are new regulations and processes in my industry. The Art of Service toolkit has kept me ahead by using AI technology to constantly update the toolkits and address emerging needs.'

'As a new Chief Technology Officer, I was feeling unprepared and inadequate to be successful in my role. I ordered an IT toolkit Sunday night and was prepared Monday morning to shed light on areas of improvement within my organization. I no longer felt overwhelmed and intimidated, I was excited to share what I had learned.'

'The risk of our competitors getting ahead has been mitigated because The Art of Service has provided us with a 360-degree view of threats within our organization before they even arise.'

'I usually work until at least 8pm on weeknights. The Art of Service questionnaire saved me so much time and worry that Thursday night I attended my sons soccer game without sacrificing my professional obligations.'

'Honestly, I did not know what I did not know. Before purchasing The Art of Service, I did not realize how many areas of my business needed to be refreshed and improved. I am so relieved The Art of Service was there to highlight our blind spots.'

'I spent months shopping for an external consultant before realizing that The Art of Service would allow my team to consult themselves! Not only did we save time not catching a consultant up to speed, we were able to keep our company information and industry secrets confidential.'

'Many of our competitors have asked us about our secret sauce. When I tell them it is the knowledge we have in-house, they never believe me. Little do they know The Art of Service toolkits are working behind the scenes.'

'Before The Art of Service, I waited eagerly for consulting company reports to come out each month. These reports kept us up to speed but provided little value because they put our competitors on the same playing field. With The Art of Service, we have uncovered unique insights to drive our business forward.'

'After utilizing toolkits from The Art of Service, I was able to identify threats within my organization to which I was completely unaware. Using my teams knowledge as a competitive advantage, we now have superior systems that save time and energy.'

'One of my friends hired a consultant who used the knowledge gained working with his company to advise their competitor. Talk about a competitive disadvantage! The Art of Service allowed us to keep our knowledge from walking out the door along with a huge portion of our budget in consulting fees.'

'Instead of investing extensive resources into an external consultant, we can spend more of our budget towards pursuing our company goals and objectives, while also spending a little more on corporate holiday parties.'


CONTENTS:


Checklists:


Checklists:Risk Management and Compliance Checklist Report on COMPLIANCE.pdf

Checklists:Risk Management and Compliance Checklist Report on PROCESS.pdf

Checklists:Risk Management and Compliance Checklist Report on INFORMATION.pdf

Checklists:Risk Management and Compliance Checklist Report on BOARD.pdf

Checklists:Risk Management and Compliance Checklist Report on AUDIT.pdf

Checklists:Risk Management and Compliance Checklist Report on RISK.pdf

Checklists:Risk Management and Compliance Checklist Report on ORGANIZATION.pdf

Checklists:Risk Management and Compliance Checklist Report on CONTROL.pdf



STEP 1 Get your bearings:


STEP 1 Get your bearings:Risk_Management_and_Compliance_Quick_Exploratory_Self-Assessment_Guide.pdf

STEP 1 Get your bearings:Risk Management and Compliance Self-Assessment Pre-Filled EXAMPLE.xlsx





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


STEP 2 Set concrete goals tasks dates and numbers you can track:Risk_Management_and_Compliance.pdf

STEP 2 Set concrete goals tasks dates and numbers you can track:Risk Management and Compliance Self-Assessment.xlsx

..and the Project Management resources in 'STEP 3: Implement, Track, follow up and revise strategy' as described above.

 

 

Who This Toolkit Is For

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These skills will enrich every part of your life.

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