Compliance Management for Public, Private, or Non-Profit Organizations by Silverman, Michael;

Short description:

Understand and mitigate compliance risk in any organization

Compliance Management for Public, Private, and Nonprofit Companies is an expert guide that delivers the strategies and techniques needed to establish, manage, and improve the compliance function within any organization.

Written by FINRA faculty member Michael Silverman, this hands-on resource offers valuable advice for identifying compliance risk and addressing complex ethical issues. It also provides best practices for using theboard of directors, trustees, and senior management to promote compliance. From anoperational standpoint, it covers such critical topics as:

• Establishing a compliance plan and program
• Implementing compliance-related technology
• Spearheading compliance education and training programs
• Developing effective compliance policies
• Operating a whistle-blowing program
• Managing internal control and assessment techniques
• Securing the appropriate staffing and budgeting requirements
• Assessing compliance effectiveness

A wealth of case studies taken from both the author?s personal experience as wellas the mainstream media brings to life the application of covered techniques in thereal world.

Long description:

In today?s business climate, accountability, transparency, and a high regard for laws, regulations, and ethical conduct is as much a part of how an organization manages its affairs as its primary mission and operations. Compliance Management for Public, Private, or NonprofitOrganizations is a complete, hands-on guide to implementing strategies and techniques for developing, managing, and improving the compliance function of any organization.

Author Michael G. Silverman is a corporate expert in strategic planning, program management, compliance, risk assessment, and policy development. In ComplianceManagement for Public, Private, or Nonprofit Organizations, he presents a comprehensive treatment of the subject by examining the traditional compliance issues associated with laws and regulations, as well as matters surroundingethical behavior, organizational structure, technology, administration, and risk management.

From establishing compliance goals and managing education and training programs to operating a whistle-blowing program and addressing staffing and budgeting requirements, this practical resource covers everything compliance officers and risk and organizational managers need to know, including:

• Where and how to establish a compliance program withinan organization
• The critical skills and expertise for maintaining an effective compliance program
• Pros and cons of making a compliance program a part-time function of an organization
• How to deliver bad news to senior management?and survive

Compliance Management for Public, Private,or Nonprofit Organizations includes a wealthof examples that illustrate the real-worldapplications of critical strategies and techniquesfor using the board of directors andsenior management to promote compliance,reduce employee and management barriersto compliance, conduct in-depth risk assessmentand compliance audits, and more.

In today?s business climate, accountability, transparency, and a high regard for laws, regulations, and ethical conduct is as much a part of how an organization manages its affairs as its primary mission and operations. Compliance Management for Public, Private, or NonprofitOrganizations is a complete, hands-on guide to implementing strategies and techniques for developing, managing, and improving the compliance function of any organization.

Author Michael G. Silverman is a corporate expert in strategic planning, program management, compliance, risk assessment, and policy development. In ComplianceManagement for Public, Private, or Nonprofit Organizations, he presents a comprehensive treatment of the subject by examining the traditional compliance issues associated with laws and regulations, as well as matters surroundingethical behavior, organizational structure, technology, administration, and risk management.

From establishing compliance goals and managing education and training programs to operating a whistle-blowing program and addressing staffing and budgeting requirements, this practical resource covers everything compliance officers and risk and organizational managers need to know, including:

• Where and how to establish a compliance program withinan organization
• The critical skills and expertise for maintaining an effective compliance program
• Pros and cons of making a compliance program a part-time function of an organization
• How to deliver bad news to senior management?and survive

Compliance Management for Public, Private,or Nonprofit Organizations includes a wealthof examples that illustrate the real-worldapplications of critical strategies and techniquesfor using the board of directors andsenior management to promote compliance,reduce employee and management barriersto compliance, conduct in-depth risk assessmentand compliance audits, and more.

Table of Contents:

Understand and mitigate compliance risk in any organization

Compliance Management for Public, Private, and Nonprofit Companies is an expert guide that delivers the strategies and techniques needed to establish, manage, and improve the compliance function within any organization.

Written by FINRA faculty member Michael Silverman, this hands-on resource offers valuable advice for identifying compliance risk and addressing complex ethical issues. It also provides best practices for using theboard of directors, trustees, and senior management to promote compliance. From anoperational standpoint, it covers such critical topics as:

• Establishing a compliance plan and program
• Implementing compliance-related technology
• Spearheading compliance education and training programs
• Developing effective compliance policies
• Operating a whistle-blowing program
• Managing internal control and assessment techniques
• Securing the appropriate staffing and budgeting requirements
• Assessing compliance effectiveness

A wealth of case studies taken from both the author?s personal experience as wellas the mainstream media brings to life the application of covered techniques in thereal world.