Louis is the Principal at Citadel Compliance with more than 20 years experience in legal and compliance across various industries including financial, oil and gas, mining, retail and manufacturing.
- Design the compliance infrastructure aligned to the business (Board, Management, Compliance Committee, Compliance Function, Compliance Staff, Resources, Systems).
- Independence of the Compliance Function.
- Establish oversight of the compliance program by high-level management aligned to company governance structures.
- Board education on compliance and ethics accountability, and the content and operation of the compliance program.
- Stakeholder engagement.
- Business analysis and context setting.
- Develop compliance risk universe.
- Assess the risk of non-compliance and criminal conduct (risk identification and assessment & analysis)
- Compliance risk management plans and registers.
- Design and implement and modify standards of conduct and internal controls to reduce the likelihood of non-compliance and criminal conduct aligned with industry practice or standards.
- Compliance policies and framework.
- Integration of compliance and risk management processes.
- Board education.
- Tailored compliance training.
- Generic compliance training.
Conduct compliance auditing and monitoring.
- Implementing standards and procedures to respond to non-compliance and criminal conduct.
- Remedial actions.
- Self-reporting to authorities.
- Implement Ethics and Compliance reporting and request for guidance line.
- Governing body submissions.
- Management reports.
- Evaluate the effectiveness of the compliance and ethics program.
- Conduct compliance and ethics survey.
- Review target company compliance program.
- Identify compliance risks.