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The purpose of a compliance and ethics program is to provide reasonable assurance that an organization complies with legal, regulatory, and contractual obligations, as well as conformity with internal policies and applicable professional standards. It adds value through the application of preventive, detective, investigative, and remediation activities, including the establishment of a culture of integrity in the workplace. RiskTrek services include:

Review & Improvement of Program Effectiveness

  • Evaluate and assist in improving the design and operation of your program on an organization-wide basis or at specific sub-levels (e.g. business unit, category of risk, program element level)

Benchmarking Against Standards

  • Evaluate and close any gaps with relevant expectations (e.g. U.S. Department of Justice, ISO 37301, Compliance Management Systems, ISO 37001, Anti-Bribery Management Systems)

Performance of Compliance Risk Assessments

  • RiskTrek will utilize a variety of techniques in performing comprehensive risk assessments or facilitating or assessing your internal risk assessment processes

Compliance Monitoring & Auditing

  • Design, implementation, or performance of compliance monitoring and auditing processes

Ongoing Program Support

  • Independent and experienced support and guidance on an ongoing basis allows you to call on us as needed to help in any aspect of your program

CSRD Readiness, Process, & Gap Assessments

  • Assist in preparing for CSRD or enhance existing processes to improve the reliability of CSRD reporting

Every organization is vulnerable to a variety of fraud risks from sources both internal (employees) and external (vendors, etc). As a Certified Fraud Examiner with more than 20 years experience in fraud prevention and investigation, Gerry Zack and RiskTrek can help prevent, detect, investigate, and remediate fraud risks to safeguard your assets and protect your organization and its stakeholders from the severe damages that can result from fraud.

Fraud Risk Assessments for Internal & Third- Party Frauds

  • Employee theft (fraud perpetrated against the organization)
  • Third party fraud (suppliers, vendors, business partners, etc)
  • Bribery and corruption
  • Fraud attributable to your company (fraudulent financial or nonfinancial reporting)

Evaluation of Fraud-Related Controls

  • Assess the design & effectiveness of preventive & detective controls
  • Evaluate and improve fraud awareness communications & training
  • Align your fraud risk management function with the COSO internal controls & ERM frameworks

Design of Data Analytics & Monitoring Systems

  • Design and implement analytics using a risk-based approach to maximize efficiency
  • Assist in selecting from the many software tools currently available without the bias of being a vendor/reseller for any of them

Fraud Investigations & Remediation Support

  • Conduct or co-source fraud or compliance investigations
    • Internal or of third parties (vendors, etc)
  • Root cause analysis and post-investigation remediation of internal controls

A well designed and operational ERM function adds strategic value to an organization by consistently applying a framework customized to each organization’s unique circumstances and risk profile in the management of risks. Based on our deep understanding of the two most commonly utilized frameworks, the COSO ERM framework and ISO 31000, RiskTrek can assist your organization in implementing or maximizing the effectiveness of its ERM function.

Enterprise Risk Assessments & ERM Program Evaluation

  • Perform or assist with the performance of enterprise risk assessments
  • Develop or enhance frameworks & processes used for internal risk assessments
  • Assist in selection of ERM software solutions
  • Perform an overall evaluation of the enterprise risk management function & assist in implementing enhancements

Ongoing ERM Program Support

  • Independent and experienced risk management support on an as-needed or regular basis

Benchmark ERM Policies & Processes Against Standards

  • Evaluate and close any gaps to align ERM programs with the expectations of the COSO ERM or ISO 31000 Risk Management frameworks

Training and education are critical to the ongoing success of any type of risk management function. RiskTrek can help in several ways:

Develop & Present Customized Staff Training

  • Fraud awareness, prevention, detection and investigation
  • Compliance and ethics programs
  • Codes of Ethics
  • Enterprise risk management
  • Internal controls over financial and nonfinancial reporting and compliance

Educational Content for Internal Teams & Company-wide Awareness Programs

  • Develop engaging content on any of the preceding topic areas for use in your organization’s Learning Management System

Multiple functions contribute to the management of risk, including units from compliance and ethics, enterprise risk management, internal audit, IT, and others. Alignment and coordination among these teams is critical to effective risk management. How RiskTrek can help:

Assess & Enhance Collaboration Between Risk Functions (Compliance, Audit, ERM)

  • Evaluate communications, reporting structures, mandates and charters, and practices to maximize efficient collaboration

Alignment of Governance Frameworks & Processes

  • Ensure that the frameworks and governance models used by each of these functions are seamlessly aligned and form a complete network of risk management for the organization

Part-time or temporary services to fit the needs of your company.

Serve as Fractional or Interim Chief Compliance Officer, Fraud Risk Manager, or Chief Risk Officer

  • Fractional risk executive services for small to mid-sized organizations where full-time risk professionals may not yet be necessary
  • Interim risk executive services as a bridge between executives

Adjunct Risk Services

  • For companies with existing risk personnel, RiskTrek can supplement your team by serving as an Adjunct Risk Professional, providing ongoing support in any of our service areas while working closely with your team

Provide Coaching for Risk and Audit Professionals

  • As part of onboarding new risk managers or as an ongoing process aimed at maximizing individual productivity and success

Ready to Protect Your Business?

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