Advisory Services

Ethics & Compliance Advisory Services

Our professionals offer years of experience in running ethics and compliance programs and in working with companies to improve their ethics and compliance performance. We keep current with leading practices, always assessing whether the current trend is truly effective and whether it is most appropriate for any particular organization’s needs. Our professionals are frequent authors and speakers at industry events on important and leading ethics and compliance topics.

Our Advisory Service and Education professionals work closely to align Syntrio’s suite of products and services to offer the best solutions for our clients.

We help clients to assess educational needs, plan educational strategies and programs and develop and deliver education through a number of formats and measure the effectiveness of these efforts.

Risk: Codes and policies alone can do only so much to advance ethics. Employees who are ill equipped to understand and apply these standards consistently likely will fail in their efforts, especially at critical events and when under pressure.

Value: A well-planned ethics and compliance education program provides employees with the knowledge and perspective to promote responsible conduct and skills that put into action their commitment to responsible business practices. These competencies support the overall program’s efforts to reduce misconduct, increase reports of suspected misconduct and promote greater responsibility.

Activities: We help clients to:

  • Conduct an education needs assessment to determine desired training and communications and the best, resource-effective methods to provide it.
  • Design and deliver live training, including development of train-the-trainer programs to enable staff to conduct training.
  • Design blended and integrated learning solutions that incorporate the right mix of online training, live training and other educational approaches.
  • Plan, develop and deploy communications programs that increase employee awareness and education regarding standards and the organization’s commitment.

We help clients to identify, evaluate and prioritize these risks and then plan efforts to manage these risks to reduce the organization’s liability and help it to meet its business goals.

Risk: Organizations without a proper understanding of their ethics and compliance risks cannot effectively develop and deploy internal controls and other resources to manage these risks. Risk management becomes based on happenstance, guesswork, and ambiguity.

Value: An effective risk assessment effort supports regulators’ call for a risk-based ethics and compliance program and supports efficient and successful risk management. Controls are focused on the highest risks while continuing to manage the broad range of risks relevant to operations.

Activities: We help clients to:

  • Identify both relevant business process and ethical culture risks.
  • Assess risks based on significance, likelihood and other measures.
  • Prioritize risks to help focus resource application and leadership attention.
  • Assess controls and develop plans to manage these risks.

We help clients to understand the effectiveness of their program, its maturity level and improvement opportunities and develop a roadmap for further developing it in line with external and organizational changes.

Risk: When an ethics and compliance program is not periodically reviewed, leadership cannot determine if program activities are performing well, whether high-performing activities are effective and which activities truly make an impact. This leads to misapplication and waste of resources, an underperforming program and further risk to the organization.

Value: A program assessment helps an organization to identify poorly performing activities and improve them, optimize activities for their most efficient and effective outcomes and offer a better chance of meeting the program’s strategic objectives.

Activities: We help clients to:

  • Assess the ethics and compliance program using a blend of techniques to elicit the most useful information to meet the organization’s needs.
  • Develop findings, implications and recommendations to help prioritize program improvement opportunities.
  • Plan program improvements based on assessment findings that provide the best chance to meet program goals.

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.

We help clients to develop, strengthen and reinforce an ethical culture to further engage employees and guide and support their responsible actions on the organization’s behalf.

Risk: An organizational culture often has a profound impact on employees’ perspectives and actions on behalf of the organization. The wrong culture invites cynicism and distrust and can lead employees to act unethically that can significantly harm the organization’s operations and reputation.

Value: A strong ethical culture increases employee engagement, trust and responsible decision making throughout the organization. It can help to differentiate the organization from its competitors and strengthen trust with the organization’s many stakeholders.

Activities: Specifically, we work with companies to identify, assess, articulate and strengthen attributes of ethical culture, including:

  • Purpose, mission or vision
  • Core values or principles
  • Heritage
  • Leadership engagement and enablement
  • Other attributes unique to the organization

We assist companies with developing, updating, launching and reinforcing their codes of conduct and policies to effectively communicate the organization’s expectations regarding responsible conduct to employees and other constituents.

Risk: All organizations need to set expectations for how employees and other parties conduct business. Failing to set and communicate constructive standards of conduct and related policies heightens the risk of improper conduct, weakens internal controls, invites operational inconsistency and undermines employees’ competencies, among other failures.

Value: An organization’s code of conduct and policies are the foundations for setting and communicating leadership’s expectations regarding responsible conduct and identifying resources to help employees make the right decisions.

Activities: We help clients to:

  • Develop, revise, and launch codes of conduct as the principal means for setting an organization’s standards of conduct.
  • Develop an overarching, coordinated policy program.
  • Develop, revise, and communicate individual ethics and compliance-related policies.
  • Strengthen efforts to continuously reinforce the code of conduct and related policies so that they remain at the front of employees’ minds and serve as ongoing guides for employee conduct.

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