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Riddle Compliance
Riddle Compliance

Compliance Surveys

Riddle Compliance facilitates regulatory compliance surveys for organizations looking to acquire a deep understanding of staff members, stakeholders and consumers in relation to their current compliance controls, business practices and related standards. Using our wealth of experience assisting companies with their governance, risk and compliance needs, Riddle Compliance uses proprietary tools and hones in on high-risk areas to devise effective compliance surveys to support our clients’ monitoring and risk mitigation efforts. Compliance surveys are extremely effective in obtaining transparent information about company procedures when facilitated properly.

anonymous information gathering

Companies generally really on employees and stakeholders to report incidents using an anonymous hotline or through conventional chains of command within the workplace. Although these measures are important to identify impending concerns, a deep understanding about employees’ execution of compliance controls and knowledge of applicable policies and procedures is not obtained. Compliance surveys bridge the information gap by allowing companies to obtain anonymous information from employees and stakeholders to better understand compliance efficiencies as well as pertinent risks.

embracing employee feedback

Partnering with employees is often neglected when a company builds its ethics and compliance program. Compliance surveys bridge the gap between employees, executive leadership and the compliance team by gaining pertinent perspectives about the company’s internal controls, regulatory understandings, disciplinary measures, corporate compliance trainings, and a host of other regulatory compliance initiatives. Companies must embrace their employees’ knowledge and opinions about compliance controls to enhance operations and adherence with state and federal regulatory requirements.

understand your employees

Effective compliance controls start with proper management and buy in from employees. Staff members possess realtime information about compliance controls and companywide standards as they relate to operations. Harnessing this information from employees is imperative in improving risk identification, internal auditing practices, and the overall growth of a compliance program. Furthermore, in order to obtain buy in from employees, organizations must speak the language of their staff. A compliance survey is a great tool to create an open line of communication with employees.

improve risk reporting with compliance surveys and organizational assessments

  • Gather strategic information about an organization’s regulatory culture and climate
  • Obtain data about challenges, policy ambiguities and other operational obstacles
  • Improve risk reporting by identifying hidden compliance issues
  • Assess departmental concerns in relation to applicable regulations and best business practices

questions to consider before a compliance survey

  • Does the company encounter challenges about compliance controls from employees?
  • Is there a disconnect between the compliance department, employees, and executive management?
  • Are policy statements misinterpreted on a routinely?
  • Are employees’ perceptions of regulations or the company’s compliance program assessed on a regular basis?

acquiring information to improve the culture of compliance

Compliance surveys are critical in obtaining information about employees and their perceptions about an underlying company in relation to management and governance, regulatory compliance, and various other organizational considerations. Riddle Compliance helps companies facilitate compliance culture surveys to attain critical employee data.

using compliance knowledge surveys to complement corporate compliance trainings

Corporate trainings and related communications are vital in maintaining an effective compliance program. Regulatory frameworks and best business practices generally serve as the foundational elements in building corporate trainings. Companies can improve their corporate education programs by acquiring realtime information from their employees. This information can be used to devise customized compliance trainings to improve regulatory awareness, employee buy in, and the culture of the company.

improving compliance program maturity and benchmarking efforts

Riddle Compliance recommends compliance culture surveys and compliance knowledge surveys to all organizations required to adhere to a regulatory framework. These two types of surveys can enhance benchmarking by providing compliance staff and executive management with information about employees in relation to operational controls, risk mitigation, and general governance.