Ethics & Compliance Program Design and Enablement

We assist clients with developing and enhancing an ethics and compliance program design that is comprehensive, risk-based and tailored to the organization’s characteristic and needs. This effort best positions the program to achieve successful operations and outcomes.

Risk: A poorly-designed ethics and compliance program can hamper effective ethics and compliance management, can break down at critical points and likely will not meet regulators’ expectations.

Value: Strong ethics and compliance management begins with a program design and structure that reflects an organization’s characteristics and needs, incorporates successful methodologies, activities and performance measures and responds to regulatory expectations.

Activities: We help clients to:
  • Develop an appropriate overarching ethics and compliance program structure, including oversight and governance, leadership, authority, reporting lines, coordination, and records plan.
  • Develop and strengthen use of an enterprise-level leadership oversight/coordinating committee.
  • Engage and enable leadership at all levels to understand and act on their responsibilities to promote and model the organization’s ethics and compliance efforts.
  • Develop strategic planning and measurement processes that support core company objectives, effectively identifies and uses resources.