They provide a comprehensive view of your compliance programs to investigators within and outside of your company.
This worksheet will help you think through how to effectively audit your compliance initiatives. It will walk you through the following steps:
Get an in-depth view of the quality of your compliance program throughout your company’s processes, systems, and practices.
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They’ll also put your company in a better position should a regulator or capital source request one of you.
Use this for each initiative like your fair lending practices, HR, or safety initiatives, to name a few. Together, these create the audit portion of your compliance playbook.
Download the Audit Compliance Initiative Worksheet today.