Compliance Monitoring For Dummies

According to the authors of “Compliance” in the June 2009 “ASA Journal”, risk teams/committees should meet at least once a month to discuss and advise business of:

• the compliance risks facing business units
• updates on actions taken
• current status

They recommend that these risks be logged in a risk register and monitored. Logging is the easy part; it’s the monitoring that scares most managers!

We’re updating our electronic risk register module to include monitoring features such as:

• feedback reminders
• automatic workflow
• compliance calendar with alerts
• compliance monitoring reports

What features would you like to see in an electronic risk register?

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