Standard Compliance Audit

Reviews All Aspects of the Compliance Department to Ensure Success

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Standard Compliance Audit

  • A comprehensive review of your Compliance Department with recommendations for improvement.
  • A full Audit of your Compliance Department’s current record keeping techniques such as incident tracking, monthly reporting, and repeat violators.
  • Examination of the process to retrieve required data in a timely manner.
  • Structuring of simple storage processes in proper EXCEL logs for easy retrieval.
  • Discussion with the legal team on the information required, when needed, and how to deliver it as desired.
  • Preferred formatting requirements for your legal team to manage the data easily.
  • Understanding which issues are relevant and may be shared verses ones not necessary to share.
  • Develop a Action Plan in case of a regulatory investigation.
  • Create positive content for Social Media for SEO during an investigation.
  • Establish SOPs for company staff on what to do first when there is a regulatory injury or investigation.

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