How Are We Doing? Strategies for Compliance Program Assessment

Eric Morehead, Principal Consultant, Morehead Compliance Consulting.

December 3, 2020

  • Why turn over the rocks? Some benefits and some goals for a periodic compliance program assessment

  • What are the expectations?  What have regulators said they are looking for and what does benchmarking tell us about program assessment?

  • Measure twice and cut once: What are some practical steps and resources to consider when planning an assessment?

  • Sum of its parts: What are the different tools, approaches and methods that organizations can use for assessments?

  • Ideally, any organization should have a good idea at the end of this session about the resources and tools needed to either conduct an assessment internally or the criteria for selecting a partner to assist with an assessment

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