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“Compliance risk is an operational risk and should be managed accordingly.”


We live in a world of rules. Compliance with those rules is critical, not only to protect your organisation from regulatory actions, fines and reputation damage but also because it’s the right thing to do to protect our stakeholders from risk we bring to them.

However, managing compliance is a formidable task for most organisations due to the sheer quantity of compliance requirements.

This guide is aimed at providing you with a practical overview of such a process and assist you in better managing your compliance obligations across your business.

What you will learn:

 

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  • Differentiating between Compliance and Compliance Risk Management
  • Identifying the sources of  compliance requirements
  • Understanding compliance requirements
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  • Creating and rating obligations
  • Recording other information and links to the obligation
  • Keeping the obligation register up to date
  • Establishing processes, procedures and policies
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  • Carrying out compliance functions
  • Reporting on each of the compliance management processes
  • Compliance Risk Management processes
  • Compliance monitoring plans
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About the Author - David Tattam

David is the Director of Research and Training at The Protecht Group and author of "A Short Guide to Operational Risk". He is recognised internationally as a specialist in all facets of risk management and in particular, enterprise risk management. Prior to founding Protecht in 1999, he held roles as the Head of Operations and Risk Management at two international banks, WestLB and The Industrial Bank of Japan. His career also spanned 7 years with PwC. David is currently active in consulting to and training in a wide range of industries in relation to setting up risk management functions and implementing enterprise risk systems.

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