GOVERNANCE, RISK & COMPLIANCE (GRC) SERVICES
Independent, experienced, professional governance, risk and compliance consulting services to highly regulated companies:
- Financial services
- Healthcare
- Manufacturing
- Transportation
- Life sciences
- Energy & utilities
- Higher education
- Government
- Food & beverage
- Technology
- Retail
Oversight of the effectiveness and adequacy of your company’s:
- Compliance Management System
- BSA/AML/CTF & FCPA programs
- Governance: policies, standards, and procedures
- Third-party risk management oversight
- Operational risk program and assessments
- Information security and privacy
- Training and assessment
Small Business GRC Program
For companies under $1B asset size, we offer seasoned GRC professional services without the overhead of a full-time hire.
A secure and reliable solution tailored to meet your needs.
GOVERNANCE, RISK & COMPLIANCE SERVICES:
- Dedicated Experienced Professionals
- Over 30 years business experience
- Experienced handling regulatory exams and audits (federal and state)
- Experienced designing, implementing and improving scalable industry best practice Risk & Compliance Programs
- Set Fee Annual Contract
CFO and VIRTUAL CISO SERVICES available on request
A Standard GOVERNANCE, RISK & COMPLIANCE (GRC) Program
1. RISK ASSESSMENT
Ensure regulatory and operational risk assessment is performed annually and report provided to Board
2. REGULATIONS, POLICIES & PROCEDURES
Ensure all applicable consumer compliance regulations are identified and related to written policies. Ensure consumer compliance policies and procedures are reviewed and updated periodically. Ensure consumer compliance policies establish goals and objectives and procedures detail how to meet those. BSA/AML/CTF & FCPA,
3. TRAINING
Ensure a regularly scheduled consumer compliance training program is established, effective and up-to-date in educating the Board, management, staff, and third-party service providers on applicable consumer compliance laws and regulations and internal policies and procedures that directly affect their jobs.
4. MONITORING
Ensure an effective monitoring system of consumer regulations, policies and procedures is in effect and gaps or deficiencies are documented and managed through to resolution (internally and externally). Provide compliance advice on the planning, development and implementation of new or expanded business operations, systems, products and services.
5. CONSUMER COMPLAINTS
Ensure there is a written procedure for handling consumer complaints by Company and any third-party service providers that work with Company, promptly and equitably including intake, processing, root cause analysis, escalation, timely response to consumer as well as internal action plan for gaps or deficiencies, and categorization and reporting on complaint trends.