Many clients recognize that a lack of clarity about roles is a common root cause for audit findings. This toolkit provides a practical way of fast tracking the debate about accountabilities in the context of compliance issues into a proven framework.
It sets out:
- Key steps for an effective compliance programme
- Key roles in the first, second and third lines of defense
- Likely accountabilities
- Draft job descriptions in respect of compliance key first, second and third line roles
This toolkit can fast track discussions about roles and responsibilities which can be used to set up a compliance programme or be used as a foundation for compliance risk assurance mapping efforts.
After purchase you will receive an email with a link to download your files.
James has helped me and my team in a number of areas, examples being improving the way we conduct and report on our audits and helping with our assurance mapping. This has all been done in a positive and supportive manner, helping the team to embed learning from these sessions.
I contacted [James] for advice as to how Assurance Mapping techniques could be applied in my own authority. Not only were his ideas very constructive, his approach was very professional yet carried out in a friendly, easy going manner which greatly helped my understanding of the issues involved. James was then always happy to deal with any follow up queries I had and he helped to fine tune and discuss the approach with the rest of my team who similarly very quickly formed the same positive view of James’s style and manner. We have recently introduced this new approach into my authority and the results and comments to date have been very encouraging, thanks in no small way to James’s advice and assistance. I would have no hesitation recommending James to anyone.