Louis Perold

• 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.

• Investigations.
• 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.