Introduction
Speaker: Greg Triguba
- Identify the expectations for and value of compliance risk assessments
- Define key terms and concepts associated with compliance risk management
- Identify the key elements of a compliance risk management cycle
- Identify key practice objectives, relationships, and frameworks that can be applied to the management of compliance risks
Presentation
Evaluation
|
Identification of Compliance Risks
Speaker: Greg Triguba
- Identify compliance risks and define a risk universe
- Classify and group identified compliance risks and create a risk inventory
- Leverage risk identification methodologies to effectively identify and manage risk
Presentation
Evaluation
|
Risk Appetite and Tolerance
Speaker: Caroline McMichen
- Define risk appetite and tolerance
- Understand how they are established by an organization and how they inform business strategy and objective-setting
- Apply these concepts to compliance and ethics risks, risk management, and mitigation
Presentation
Evaluation
|
Assessing Severity
Speaker: Gwendolyn Hassan
- Identify and define the factors that comprise risk severity
- Identify and implement different methods for assessing risk severity
- Apply techniques for assessing the severity of compliance risks to real-world scenarios
- Identify techniques for enhancing your risk assessment process using more advanced techniques
Presentation
Evaluation
|
Assessing Internal Controls over Compliance
Speaker: Caroline McMichen
- Differentiate between the different types of internal controls
- Differentiate between design and operating effectiveness of internal controls
- Design and develop tests to measure the design and effectiveness of internal controls over compliance
- Differentiate between monitoring and auditing of internal controls
Presentation
Evaluation
|
Risk Response and Mitigation
Speaker: Gwendolyn Hassan
- Assess whether a response is necessary based on target and actual risk
- Differentiate between preventive and detective controls over compliance
- Design an appropriate response based on the results of a compliance risk assessment
- Implement and follow up on a risk response plan
Presentation
Evaluation
|
Supporting COSO ERM Principles with Best Practices in C & E Programs
Speaker: Caroline McMichen
- Discuss the principles of ERM as defined by COSO and their relationship to the requirements for an effective Compliance and Ethics program
- Identify compliance and ethics program activities and best practices that help an organization meet those objectives
Presentation
Evaluation
|
Continuous Improvement and Best Practices
Speaker: Gwendolyn Hassan
- Identify drivers of compliance risk in your organization
- Identify and apply techniques for creating a risk-aware culture
- Apply the concepts covered in this workshop to improve the compliance risk assessment and management processes in your organization
Presentation
Evaluation
|
