Interim Compliance Leadership & Support
Provide interim support to Compliance and Internal Audit Departments.
Prevent interruptions and ensure that the compliance program remains effective during times of change.
Lead teams during transitions.
Subject Matter Expertise.
Design & Redesign to Optimize Compliance Programs
We help the client’s team design and implement a compliance program that is sustainable, scalable, and effective. We guide the client to demonstrate a return on their investment in compliance.
What we do: Guide the Compliance Department in finding a Purpose statement and living Vision that position the Compliance Department within the organization and tells its story.
What we deliver: One-day facilitated, on-site workshop with the Compliance Department team.
What we do: Guide the Compliance Department in creating an Operating Plan that optimizes the Department’s abilities to achieve the goals and objectives of the Compliance Plan.
What we deliver: On-site workshops with the Compliance Department team that result in a written plan. Return on Investment for the Department.
What we do: Guide the Compliance Department in drafting a plan that aligns with the Purpose and Vision of the Department and addresses each element of an effective compliance program.
What we deliver: On-site workshops with the Compliance Department team that result in a written plan.
What we do: Design a curriculum of compliance education that build a compliant culture and infuse existent compliance education.
What we deliver: Curriculum with educational resources as needed.
What we do: Help the client manage what it measures. Guide the Compliance Department in selecting Key Performance Indicators that measure progress towards a fully effective compliance program. Help the Compliance Department create at-a-glance dashboards of its KPI’s.
What we deliver: On-site workshops with the Compliance Department team that result in customized KPI’s. Dashboards and graphical representations of progress over time.
Jumpstarts for Compliance Initiatives
Expectations of compliance programs have never been greater. We offer specific services that help the client meet these expectations by accelerating their compliance initiatives.
What we do: Interview existing members, review committee materials, form a best approach for maximizing tone at the top and engagement with the Compliance Officer, and tailor committee materials and procedures.
What we deliver: Membership recommendations, a model committee charter, model agendas, and dynamic meeting ideas for member engagement.
What we do: Support the client’s efforts to quickly and correctly implement regulatory requirements. We coordinate aspects of regulatory implementation.
What we deliver: On-site meetings with leadership. PDCA: Plan that clarifies regulations, when and where they must be implemented, assesses the current state, sets a change management approach and timetable, sets metrics for success, and establishes an assessment phase.
What we do: Assist the Compliance Department in identifying areas of opportunity for technology solutions, matching a need with an appropriate product, and creating a value proposition for the solution. Facilitate communication with the vendor to make sure each solution is presented to governance accurately. Promote a successful implementation.
What we deliver: Gap analysis for technology in the compliance program, Request for Proposal tailored to the results of the gap analysis, tool for calculating an ROI, presentation materials for governance, process maps, implementation road map, plan for monitoring the effectiveness of the technology and ROI.
Written Guidance & Governance Support
What we do: Ensure that the client’s compliance program includes written guidance that meets regulatory requirements and stakeholders’ needs. Assist the client in developing, editing, and proofreading any materials identified as needed.
What we deliver: Recommendations for Standards of Conduct, policies and procedures, SOP’s, compliance outreach materials, or other written guidance to enhance open lines of communication.
What we deliver: On-site educational sessions, brown bag seminars, workshops, distance learning, and on-site meetings with the client’s Compliance Officer.
Lend a hand in a compliance crisis
What we deliver: The extra lift to find root causes and enduring solutions. We realize the sensitive nature of these services and regularly work under the Attorney-client Privilege.
Contact us to discuss this service line in more detail.