Handouts

Overall Survey | CEU Application | Conference Brochure

Introduction

Greg Triguba, Principal, Compliance Integrity Solutions

  • 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

Greg Triguba, Principal, Compliance Integrity Solutions

  • 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

Caroline McMichen, Strategic Advisor, SAI

  • 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

Gwendolyn Hassan, Compliance Officer/Counsel, In Transition

  • 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

Caroline McMichen, Strategic Advisor, SAI

  • 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

Gwendolyn Hassan, Compliance Officer/Counsel, In Transition

  • 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

Completing the CRM Cycle

Caroline McMichen, Strategic Advisor, SAI

  • Identify the principles of ERM as defined by COSO and their role in the compliance and ethics risk management cycle
  • Identify and implement compliance and ethics program elements and actions that help an organization meet those objectives


Presentation
Evaluation

Final Considerations

Gwendolyn Hassan, Compliance Officer/Counsel, In Transition

  • 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

 

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