Compliance Risk Assessments - An Introduction

By Judith W. Spain, JD, CCEP

Risk assessments are the heart of an effective compliance and ethics program. They help build the framework around which your program will operate. With them, you can create a system that not only finds compliance issues, but also works to keep those issues from happening. Without them, you'll only be reactive.

With Compliance Risk Assessments: An Introduction, you'll learn about the nature of risk and how compliance risk management differs from other forms of risk management. You'll learn to define your organization's compliance risk universe and how to assess and address those risks. This book covers each step of the process and how they feed into a functioning compliance and ethics program. It also outlines common pitfalls and ways to build toward continuous improvement.

Compliance Risk Assessments: An Introduction is written by Judith W. Spain, JD, CCEP, who has established compliance risk assessment initiatives at Eastern Kentucky University (EKU) and Manhattanville College. She is a tenured professor in the EKU School of Business, a licensed attorney, and the founder of Higher Education Compliance Consulting.

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