CITADEL COMPLIANCE
Louis Perold
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.
COMPLIANCE SERVICES
Compliance Infrastructure
- Design the compliance infrastructure aligned to the business (Board, Management, Compliance Committee, Compliance Function, Compliance Staff, Resources, Systems).
- Independence of the Compliance Function.
Compliance Oversight
- 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.
Risk Assessment
- 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.
Standards & Procedures
- 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.
Education & Training
- Board education.
- Tailored compliance training.
- Generic compliance training.
Auditing & Monitoring
Conduct compliance auditing and monitoring.
Response & Prevention
- Implementing standards and procedures to respond to non-compliance and criminal conduct.
Incentives & Discipline
- Investigations.
- Remedial actions.
- Self-reporting to authorities.
Reporting
- Implement Ethics and Compliance reporting and request for guidance line.
- Governing body submissions.
- Management reports.
Effectiveness Assessment
- Evaluate the effectiveness of the compliance and ethics program.
- Conduct compliance and ethics survey.
Compliance due diligence in Mergers and Acquisitions
- Review target company compliance program.
- Identify compliance risks.