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Chapter 9. Beyond the Compliance Risk Assessment Process

Chapter Goal:

  • Understand the basics of an effective compliance and ethics program.

You’ve made it through the basic steps for developing and implementing a compliance risk assessment and mitigation plan, ranging from identifying the universe of risk to putting a monitoring system in place for the compliance risk mitigation plan. Time to sit back and finally get to eat that cake, right?

While tempting, you’re not done yet. If your business intends to adopt a complete ethics and compliance initiative, you need to consider some other elements and how they fit with compliance risk assessments to form an effective ethics and compliance initiative.

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