Assessing Conduct Risk – A Checklist Solution
We would normally be the last people to recommend check list compliance as an option.
Sometimes, all you need to get the ball rolling is a check list. That in itself brings in further challenges, as you ask yourself, what do I put in as a question, when I may already know the answer and cannot counter my personal bias?
The Answer is clear – The Compliance Consultant “Conduct Risk Stress Test Template”
The checklist gives you 4 pages of questions in the sections of;
Oversight, Framework and Leadership
Alignment with HR Practices
Communications and Training
Reporting & Response
Monitoring and Assessment
And it includes Bonuses, promotions, exit strategy, internal code of conduct and many more!
This simple yet powerful addition to your annual compliance monitoring plan (buy yours here!) will help you assess your initial and ongoing Conduct Risk Improvements.
- It will show any 3rd party the developments you have embarked on.
- Show staff what changes you have made
- Identified the cultural risks that lurk in every organisation
- Can be done company wide or departmentally
- Can be used as qualitative Management Information for the Board/Partners