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Riddle Compliance
Riddle Compliance

Solutions

Companies are inundated with stringent regulatory requirements that change rapidly. Without dedicated and knowledgeable staff to handle the myriad of regulatory concerns, organizations face the possibility of huge fines and other reprimands by regulators. Riddle Compliance has designed its outsourced compliance solutions to meet the demands of businesses that need assistance on a recurring basis to address ongoing integrity monitoring and regulatory requirements. Our governance, risk, and compliance consulting solutions are tailored to meet our clients’ unique needs and risk profiles.

CODE OF ETHICS & BUSINESS CONDUCT DEVELOPMENT

  • Define what it means “to be compliant”
  • Code of Ethics drafting or redrafting
  • Development of interactive ethical code
  • Craft overarching Code of Ethics to communicate corporate values
  • Align Code of Ethics with applicable regulatory environment, industry trends, and company-specific standards
  • Develop a comprehensive list of sections and subsections to govern common ethical dilemmas
  • Devise tables, charts, and other illustrative means to convey an organization’s goals
  • Homogenize Code of Ethics with departmental policies and procedures, company standards, conflicts disclosures, and other records
  • Create Code of Ethics for use in corporate trainings and monitoring activities
  • Modernize Code of Ethics to ensure engagement
  • Customize Code of Ethics to mirror corporate culture and company voice
  • Engage employees, vendors, and other stakeholders with relevant content
  • Align Code of Ethics with operational policies and company’s governance, risk, and compliance initiatives

POLICY DEVELOPMENT AND DRAFTING SERVICES

  • Interdepartmental policies, procedures, standards, and controls
  • Formal and creative policies and procedures with companion checklists and policy summaries
  • Work with internal staff to understand what communications require a policy or clear procedure
  • Support internal staff in crafting technical documents for use by stakeholders, business partners, and regulators
  • Perform gap analyses on policies and procedures
  • Conduct compliance reviews to measure company behavior against standing policies and procedures
  • Homogenization of company-wide policies and procedures
  • Update policy library with current regulations and company standards
  • Develop policies for use in trainings, audits, and monitoring initiatives
  • Develop policies for multi-generational audiences
  • Ensure applicability of policies and controls to vendors and other third parties
  • Keep records of acknowledgements and policy attestations

COMPLIANCE PROGRAM ASSESSMENT “CPA“

  • Comprehensive compliance and risk reviews
  • Review of previous findings from auditors and regulators
  • Extensive assessment of policies, processes, and related controls
  • Compare compliance protocols against legal landscape and industry standards
  • Identification of operational risks and deficiencies
  • Examination of compliance initiatives and related tools to ensure effectiveness
  • Evaluation of governance, risk, and compliance program design
  • Assess outcomes of current compliance initiatives
  • Review of minutes of the compliance and audit committee as well as board of directors
  • Evaluate training workshops and compliance communications
  • Gap analysis of errors and other inefficiencies
  • Assess hotline reports and previous internal investigations
  • Document review and deep analysis of best practices against compliance program

INTEGRITY MONITORING & EXTERNAL REVIEWS

  • Develop customized monitoring initiatives tailored to company-wide goals, regulatory mandates, incident reports, internal investigations, and/or third-party misconduct
  • Create strategic monitoring methodology for shareholders and executive leadership
  • Align monitoring initiatives with compliance goals
  • Develop strategy to gather information to support fact finding and other investigative processes
  • Assess policy statements, procedures, and controls against any alleged misconduct, a regulatory change, or an industry trend
  • Evaluate previous audit reports to identify patterns of malfeasance
  • Opine on risk mitigation and remediation practices
  • Work with the company’s compliance and audit committees, shareholders, and internal staff to identify any relevant suspicious conduct previously recorded