catelas ebooks: compliance officers: how good was your performance review?
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eBook Series
Attention: Compliance Officers
How good was your Annual PerformanceReview?
eBook SeriesPolicies and Processes in place
No proactive monitoring of 3rd Party Relationships
Training conducted throughout company
Compliance Investigations handled promptly and effectively
Compliance - annual performance review
eBook Series So…• No major DOJ or SEC investigations• No whistle-blower incidents• The Audit Committee was satisfied
… it was a pretty good “Compliance” year
The Compliance year in review
eBook SeriesNot really … it’s pretty much how most Compliance Officers are measured
… except a few of the best Compliance Officers are doing more!
Monitoring 3rd Party Relationships
Do you see anything wrong with this story?
eBook Series
Monitoring 3rd Party Relationships
