30 key compliance and Compliance and ethics leaders are searching for ways to improve their department,

but competing priorities leave them wondering where to focus attention, time and
ethics activities money. With the right plan, you can focus on innovating and maturing your function.

Define program mandate Mitigate and monitor risks

Maintain Track the legal

Assess legal and Determine program Set functional Monitor compliance Test and audit Build risk-specific
organizational and regulatory
compliance risks scope and objective strategy
support environment
risk exposure compliance mitigation plans

Maintain reporting Manage third-party

channels
Building a world-class compliance and risk
Oversee allegations

Sample path to maturity: ethics organization

of misconduct

Conduct internal investigations

Identify key activities
Intake and triage Level 3 Maintain the code

Establish policies and procedures

employee reports of conduct
Ensure Prioritize with confidence
the entire
organization
Conduct internal Level 2 follows a Master organizational execution Maintain policy
investigations consistent governance
Document process.
a formal
Level 1 investigations
Measure and Establish
process. Design policies
report program access to an
Conduct and procedures
effectiveness integrated
investigations
on a case-by- investigations
case basis. database.
Embed policies
Partner with key
and procedures
stakeholders
into operations

Develop a compliance
Manage the function

Manage the budget and ethics training

curriculum

Determine training
Manage talent
content

Establish incentives Develop

Select and manage Promote a culture Measure corporate Deliver compliance Measure training Deliver compliance
and disciplinary communications
service providers of integrity culture messages effectiveness and ethics training
measures content

Reinforce behavioral expectations Provide training and communications

Take the guesswork out of prioritization and start building your world-class compliance and ethics organization. Contact us today.

Contact us to learn more

Phone: 1 800 213 4848 Email: legalcomplianceleaders@gartner.com Web: gartner.com/go/legal-compliance

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