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Thu, 13 Aug 2015 08:06:29 -0400 |
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I am developing a list of high-level principles that should be established
for an RIM Program's compliance program. I wonder if any of you would like
to contribute compliance principles. So far I have listed:
<Start>
Guiding Principles
1. Compliance entails organization-wide adherence to external regulations
and internal policies.
2. Compliance objectives are tied to the organization's objectives and
risk appetite.
3. Compliance starts with clear policies that outline requirements and
responsibilities, published and distributed across the organization.
4. Compliance will include the RIM organization assisting staff with
compliance by providing training, guidance documents, and directly
assisting when help is needed to bring their particular operations or
applications into compliance.
5. Compliance will include monitoring, testing, remediating, and reporting
on staff compliance.
<End>
I am not really looking for opinings on what compliance is. Just succinct,
high-level principles that should be added to the list.
Thanks for your help,
Gary Link
Pittsburgh, PA
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