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Riddle Compliance
Riddle Compliance

Integrity Monitoring & External Reviews

Regulators have stressed the importance of ongoing monitoring and auditing practices. Organizations are expected to review business practices to effectively identify risks, compliance breaches, and other questionable acts. Facilitating effective compliance initiatives requires resources, an experienced team of professionals, and proper planning. Growing companies are generally reactive, and this is a problematic approach. Riddle Compliance helps organizations mitigate risks proactively.

Internal Monitoring Practices

Monitoring initiatives must be a part of an organization’s compliance planning. Our internal monitoring process includes periodic reviews of employee conduct against regulatory mandates, company-wide standards and controls. Risk-based monitoring allows companies to prevent compliance breaches before such instances occur. Riddle Compliance works with clients across industries on various monitoring projects to fit corporate needs and to circumvent trending regulatory risks

Third-Party Monitoring

Without ongoing monitoring of third-party conduct, an organization may be vicariously liable for noncompliant acts. Riddle Compliance works with companies to identify compliance concerns within the supply chain. Our third-party integrity monitoring allows companies to focus on operational considerations while we thoroughly evaluate the supply chain against corporate controls, regulatory compliance, cybersecurity matters, quality control, safety, and various other matters.

COMPLIANCE GAPS AND REMEDIATION

Departments are bombarded with day-to-day activities; so many compliance concerns are hidden due to poor monitoring practices. Our compliance integrity monitoring can alleviate these obstacles by providing organizations with a reliable method to routinely investigate and evaluate suspicious conduct, bad acts, and third-party issues as they arise. Armed with a team of professionals, our integrity monitoring solutions are tailored to fit our clients’ specific needs.


EFFECTIVE COMPLIANCE MONITORING

    INTEGRITY MONITORING QUESTIONS TO CONSIDER

    • Are policies effectively guiding employees and vendors?
    • Are there any patterns of noncompliance or related concerns?
    • Does the organization facilitate any periodic monitoring initiatives?
    • Are audit findings aligned with monitoring practices?
    • Does the compliance department manage and/or facilitate similar practices?
    • What are the company’s common compliance breaches?
    • Are current monitoring practices enhancing the compliance program?

CUSTOMIZED COMPLIANCE MONITORING INITIATIVES

Every organization has logistical issues and variables that guide the nature of compliance monitoring. Our compliance solutions are customized to meet each company’s unique set of challenges, tolerances, and corporate culture.

SCHEDULED AUDITING AND MONITORING

One of our goals is to ensure clients develop a proactive approach to integrity monitoring. Clients are encouraged to schedule monitoring initiatives on a routine basis to obtain insight. This information is critical in mitigating risks and developing training programs.

SUPPLY CHAIN MONITORING AND VENDOR MANAGEMENT

Third parties often pose the greatest risk to an organization’s compliance efforts. To mitigate these risks, companies must monitor critical suppliers against applicable policies, controls, and regulations.