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Compliance Assessment Management

SAI Global provides solutions to address a wide variety of assessment requirements. Our Advisory Services team provides program assessments to objectively benchmark the effectiveness of your compliance program and provide recommendations for addressing potential weaknesses. Our compliance software solutions provide easy-to-use survey and assessment capabilities integrated into a broader GRC platform. Using these capabilities, you can create and manage data collection questionnaires and analyze the results, all within one unified solution.

 

Compliance Assessment - Software

With Compliance 360, surveys and assessments are easily configured and managed by line-of-business professionals with no technical expertise.

The Compliance 360 Universal Assessments application utilizes a powerful workflow engine to enable automated distribution of surveys and assessments. Email messages are automatically sent to assign activities and remind individuals of due dates. Alerts are also sent automatically if due-dates are in jeopardy of being missed.

All surveys, assessments and results are stored in a unified repository allowing for easy connection with other GRC information such as policies and procedures and corrective action plans.

Compliance Assessments are monitored using configurable reports and dashboards. Reporting is real-time and provides visibility into issues in the process such as assignees that have not responded or not completed their portion of the assessment. Data gathered can be used to analyze current levels of risk with key processes using dashboards that highlight issues with drill-down to reports that provide more detail.

Used in conjunction with the Compliance 360 Virtual Evidence Room, assessment results can be linked back to applicable compliance obligations, laws and regulations, to create a dynamic body of evidence of compliance and ensure a continual audit-ready state for the organization.

Some of the key features of the Compliance 360 Universal Assessments application include:

  • Create customized, multi-page, assessment questionnaires using various types of questions including multiple choice, text, date, currency, and numeric
  • Ability to import your own questions, or create new questions "on the fly" to generate questionnaires in a matter of minutes
  • Ability to attach documents such as policies and procedures to assessments, along with verification-of-understanding questions to employees and third parties.
  • Configurable scoring methodology per assessment allows for rollup of score values by minimum/maximum/average
  • Automated distribution of assessments to an unlimited number of respondents (either individuals or groups) both internal and external to your organization
  • Ability to set a predetermined schedule for automated distribution of assessments
  • Specific follow-up or remediation tasks can be automatically generated based on the overall score generated. Ability to use the project and task management features in Compliance 360 to manage corrective actions based on assessment results
  • Automatic audit trail shows date, time, and activity footprints of users’ access and changes to assessments including completion of the process

Consulting Services

At SAI Global, we hold ourselves accountable for your success. With a vested interest in your success, we offer planning, configuration, implementation and optimization services to ensure that our software solutions fully address your needs. Our primary objective is simple: 100% success with your objectives. We invite you to explore our customer stories.

Learn More

Contact Us to learn more about Compliance 360 Assessment Management Software or schedule a live demonstration.


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Compliance Assessment - Advisory Services

The SAI Global assessment services are delivered by lawyers and compliance experts and are tailored to meet your specific needs and objectives, whether you are looking for a comprehensive assessment of your organization’s entire program or assistance refining select program elements. These include:

Compliance Program Assessment

Our Compliance Program Assessment service entails a formal, systematic and comprehensive process designed to uncover opportunities for improvement within your program and help ensure that your program not only meets your compliance obligations, but also contains best-practice elements to achieve optimal effectiveness.

Our Compliance Program Assessment services help you by:

  • Identifying program strengths and opportunities for improvement
  • Providing specific, practical recommendations for those areas where your program can be enhanced
  • Offering an unbiased, outside perspective and introducing innovative new ideas
  • Providing insight that can prevent C&E failures
  • Creating awareness that helps build and maintain an ethical culture

We can validate your current program through objective, data driven analysis and offer specific guidance that can help you fine-tune specific areas of your program or help you move your program to the next level.

As part of our Compliance Program Assessment process, we carefully evaluate your program’s structure, components, people and processes. Most often, that entails on-site visits, interviews, focus groups and surveys. Specific methodologies and focus, however, are matched to your organization’s specific needs and priorities.

Our comprehensive Program Assessment service covers:

  • Standards and Procedures
  • Program Structure
  • Personnel Screening Practices
  • Education and Communication
  • Monitoring and Auditing Systems
  • Employee Attitudes
  • Incentive and Disciplinary Programs
  • Reporting Systems
  • Response and Prevention
  • Risk Assessment Activities
  • Third-Party Risk Management
  • Overall Culture of Compliance


Compliance Risk Assessment

Your company faces specific risks by virtue of your industry, geographic footprint, the third parties you engage and your other unique organizational characteristics. As part of our Risk Assessment service, our experts identify and categorize your current and emerging compliance, ethical and cultural risks. We perform comprehensive data gathering and analysis that may include a combination of on-site visits, interviews, focus groups and customized questionnaires (both online and offline, as appropriate).

Our Risk Assessment services will help you:

  • Comply with compliance obligations such as those mandated by the U.S. Sentencing Guidelines, UK Anti-Bribery Act, Foreign Corrupt Practices Act (FCPA) and more
  • Identify and prioritize critical risk areas and control gaps, and gain a clearer view of your risk profile
  • Develop a systematic plan to remediate identified risks and enhance control structures and processes
  • Minimize the likelihood of adverse events that may impact your profitability, reputation or regulatory status
  • Raise risk awareness and promote a culture of integrity

Learn More

Contact Us to learn more about Advisory Services from SAI Global.
Download our Advisory Services Program Assessments datasheet
View recorded demonstrations of our Advisory Services:

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