Services
Compliance policy and procedure documents are the foundation of any compliance program, both in terms of organization and management of the program. These documents also facilitate compliance with applicable laws, regulations, and standards by addressing high-risk operational areas. Compliance consultants can assist with developing and maintaining compliance manuals, policies, and procedures for a range of topical challenge services offered by a compliance consultant may include providing the client with information, solving problems on behalf of a client, redefining or diagnosing problems, and making recommendations.
Monitoring regulatory changes to ensure that policies and procedures are updated accordingly.
Ensuring that company policies promote ethical business practices and comply with laws and regulations.
Conducting investigations to uncover fraudulent activities or employee misconduct.
Creation of training modules on safety procedures and hazards to employees and contractors.
Reviewing and setting standards for outside communications by requiring disclaimers in emails or examining facilities to ensure they are accessible and safe.
Designing or updating internal policies to mitigate the risk of the company breaking laws and regulations, and leading internal audits of procedures.
Effectively communicating the company’s key ethical principles and compliance regulations, organizing regular training sessions for employees to communicate key regulatory changes and updates.
Working with business units and management to ensure appropriate contingency plans are in place that set guidelines on how to respond to a possible compliance breach.
Ensuring continual monitoring and review of compliance procedures to help identify possible areas where improvements could be made.
Act as liaison between the business and regulatory officials.
Develop internal company policies and ensure that they are respected.
Make sure the organization has a clearly defined program for complying with the country’s laws.
Constantly report to management concerning the organization’s compliance with laws and regulations.
Take action in dealing with noncompliance situations, creating realistic plans to overcome them.
Conduct audits or lookbacks to identify potential weaknesses and noncompliance situations.
Communicate with employees and make sure everyone is aware of what they need to do to comply with internal and external laws and regulations.
Develop and implement a compliance program to ensure the organization operates in accordance with state and federal laws.
Determine compliance metrics and establish a system for tracking them.
Review any marketing and advertising collateral to ensure it is compliant.
Provide clients with up-to-date on federal and state laws related to the organization and update policies accordingly.
Perform compliance audits to determine whether established protocols are being followed and where they can be improved.
Maintain up-to-date written documentation and policies related to the organization’s business activities.
Create a compliance resource library for staff members to reference when they have questions.
Propose compliance programs, review, and update existing company policies with leadership approval.
Take immediate action for policy violations, and mitigate risks.
Engage managers and supervisors, oversee a company’s operations, address potential risks, and answer questions from managers, and supervisors.
Develop and nurture a culture of compliance with every interaction when interacting with team members4.
Ensure that your business creates strategies and policies that govern authorization, internal access, and set controls, including encryption, firewalls, and other risk mitigation strategies.
Assist in reporting compliance violations.