Compliance Risk Assessment Facilitation

The Compliance Risk Assessment Facilitation service provides your institution’s compliance officer and management team with direct assistance from one of our highly-trained consultants in the completion of your Compliance Risk Assessment. Using our Compliance Management Risk Assessment Workbook, our consultant will facilitate your consideration of your compliance management program and of the effectiveness of the institution’s compliance efforts, both overall and on an individual, regulation-level basis. Facilitation will include guidance on the purpose of the risk assessment, who should be involved in the completion of the risk assessment, clarification of key aspects of each regulation, and documentation to demonstrate the consideration of required elements as the assessment is completed. The completed risk assessment will support scheduling compliance monitoring or reviews, independent compliance audits, and compliance-related training on a risk-focused basis.