Effective Compliance: A Strong Defence Against Mission Failure
Presented at the ACFE Houston Fraud Conference 2023 - PDF with speaker notes.
Here is the big idea:
Compliance can be a strong defense against mission failure by helping to avoid the hazards and
prevent the conditions that lead to fraud or more precisely that create the opportunity for risk to become a reality.
But here's the rub
Compliance will only be effective if and only if all essential compliance functions, behaviours, and interactions exist and are operating at levels sufficient to realize the benefits of compliance.
In this presentation, we look at:
1. The risk and compliance landscape - this will help us answer the question of why
2. How compliance programs work - without understanding this you will never know how to make them effective
3. Operational model for compliance - connect all the dots so you have no holes in your defences
4. What's essential for effective compliance - how to achieve Minimal Viable Compliance (MVC)