Take Control of Compliance Improvement to Conquer Every Audit

Don’t gamble recklessly with external compliance. Play a winning system and take calculated risks to stack the odds in your favor.

Onsite Workshop

A reactive approach to compliance can result in:

  • People, process, and technology lagging behind changing business and compliance requirements.
  • Disruptive mandated changes following an adverse audit opinion.
  • Punitive fines or injunctions.
  • Exposure to personal liability.

A proactive approach to compliance leads to:

  • Clear understanding of regulatory requirements and business needs as they evolve.
  • Reduced risk of non-compliance.
  • Reduced non-compliance costs.
  • Expedited audits that bring value rather than disruption.

Module 1: Launch Proactive Compliance

The Purpose

  • Identify areas for compliance improvement.
  • Identify benefits of compliance management.
  • Identify: compliance priority, capability, budget, capacity requirements, and resource constraints.
  • Establish External Compliance Management Working Group and compliance goals.
  • Establish a starting point for compliance improvement. 

Key Benefits Achieved

  • Clearly defined pain points of compliance management.
  • Defined compliance improvement plan.
  • Defined compliance team, mandate, scope, and goals for compliance improvement. 

Activities: Outputs:
1.1 Define scope and mandate of compliance committee.
  • Defined project charter.
1.2 Define roles and responsibilities.
  • Defined roles and responsibilities.
1.3 Establish compliance goals.
  • Defined compliance goals.

Module 2: Assess Compliance

The Purpose

  • Identify relevant regulatory requirements.
  • Determine a change management process.
  • Determine compliance gaps within a limited workshop scope.
  • Prioritize compliance gaps based on risk likelihood and impact. 

Key Benefits Achieved

  • Defined regulatory requirements.
  • Determined change management process.
  • Identified compliance gaps.
  • Prioritized gaps.

Activities: Outputs:
2.1 Define regulatory requirements.
  • List of relevant regulations.
2.2 Define change management process.
  • Assigned change management owner.
2.3 Conduct a sneak audit and prioritize gaps.
  • List of prioritized compliance gaps (within limited workshop scope).

Module 3: Remediate Non-Compliance

The Purpose

  • Determine plausible remediation plans for high priority gaps.

Key Benefits Achieved

  • Planned remediation measures.

Activities: Outputs:
3.1 Determine remediation plans.
  • List of remediation plans.

Module 4: Confirm Compliance

The Purpose

  • Confirm and assure compliance.

Key Benefits Achieved

  • Identify recurring compliance gaps.
  • Confirm adherence to remediation.
  • Assure compliance.  

Activities: Outputs:
4.1 Conduct stakeholder interviews.
  • List of recurring gaps.
4.2 Conduct sneak audit.
  • List of root causes.
4.3 Conduct external/internal formal audit.
  • Official findings.

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