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Key Pillars Of An Effective Compliance Program

Effective compliance programs are essential for preventing, detecting, and responding to legal violations and unethical behavior. Major regulatory bodies like the Department of Justice (DOJ), the US Securities and Exchange Commission (SEC), and the UK Ministry of Justice understand the importance of these programs in creating a culture of compliance and accountability. While every compliance program is tailored to its specific business and industry, they all share core elements guided by documents like the DOJ’s Evaluation of Corporate Compliance Programs and the Federal Sentencing Guidelines. These elements include:

Comprehensive Risk Assessments

Regularly update to account for new business activities, regulatory changes, or emerging risks that might affect existing risk management procedures.

Policies, Procedures, and Standards of Conduct

Clearly define the organization’s commitment to compliance, set expectations for employee behavior, and outline procedures for addressing compliance issues.

Ongoing Training and Education

Ensure all employees understand the compliance requirements relevant to their roles.

Effective Communication

Provide regular updates and internal communications to keep employees informed and emphasize the organization's commitment to ethical standards.

Robust Whistleblowing Mechanisms

Enable employees to report compliance concerns anonymously and without fear of retaliation.

Detecting Offenses and Corrective Action

Effectively remediate issues and use “lessons learned” to continuously improve the compliance program.

Ensuring Disclosures

Include financial disclosures, conflict of interest declarations, and incident reports.

Due Diligence and Ongoing Monitoring of Third Parties

Ensure third parties adhere to the same standards of conduct as your organization.

Comprehensive Documentation and Reporting

Essential for demonstrating compliance efforts, facilitating audits, and ensuring program defensibility.

Ongoing Monitoring and Review

Continuously assess the effectiveness of policies and procedures, and track compliance metrics to identify areas for improvement.

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The Challenges of Compliance Program Management

Balancing regulatory requirements with business realities can feel like an unfair fight.

Compliance teams are usually working with tight budgets and few resources, making it difficult to implement and sustain effective programs and remain agile at the same time. The complex structure of organizations, together with siloed systems and outdated processes, makes it hard to maintain consistency and visibility. Plus, with constantly changing regulations, the scope of compliance work keeps growing, but the resources and budgets just don't keep pace.

Effective compliance is important, and compliance teams deserve better. 

Building Better Compliance Programs With GAN Integrity

Fortunately, with the right resources, technology, and support, you can build an effective and impactful corporate compliance program. That’s why leading organizations around the world rely on GAN Integrity. We help you:

See everything

GAN Integrity provides a comprehensive view of all your compliance risks.

  • Single sign-on to everything compliance: A unified platform makes it easy for both you and your employees to manage and adopt compliance processes.
  • Simplified reporting: Embedded and customizable dashboards simplify reporting. Connect any data point across the platform to create a holistic view of your program, evaluate effectiveness, and keep the business attuned to the risk landscape in real-time.
  • Transparency and documentation: An integrated and automated audit log ensures every compliance activity is automatically recorded and available for later reference.
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Adapt to anything

In a constantly changing regulatory and business landscape, GAN Integrity ensures your compliance program is agile and resilient, without the need for expensive IT projects.

  • Flexible configurations: Customize your workflows to fit your unique needs and align with your internal processes, simplifying deployment and enhancing adoption.
  • Be ready for what’s next: Scalable workflows and governance infrastructure allow you to quickly adapt to changing business realities, regulatory updates, and new world events.
  • Safe, intuitive, and engaging environment: Designed to deliver tailored user journeys and secure interactions for every user, ensuring employees feel safe and heard when engaging with compliance processes.

Get all the help you need

GAN Integrity offers comprehensive support and automation to ensure your success.

  • Expert support: Access our team of specialists for guidance on navigating complex regulations and organizational structures and developing effective strategies
  • Empower your team: Custom risk prioritization models and platform automations streamline compliance processes, creating consistency and speed across operations.
  • Integrated awareness and training campaigns: Keep your employees engaged, informed, and trained on any compliance area with integrated campaign functionalities.
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Our Products And Solutions

 

ABAC Program Management Policy Management Third-Party Risk Management Disclosure Management Reporting and Documentation

ABAC Program Management

Ensure your organization upholds ethical integrity and ABAC compliance through comprehensive risk assessments, effective policy management, and continuous monitoring. Capabilities include:

  • Third-party due diligence: Mitigate bribery and corruption risks with integrated questionnaires, sanctions checks, and risk intelligence data.
  • Disclosure management: Consolidate and assess conflicts of interest, gifts, travel, entertainment, and political and charitable contribution disclosures.
  • Reporting and documentation: Maintain a complete audit trail and detailed reporting to easily demonstrate compliance to stakeholders and regulators.
Learn more
GAN Integrity ABAC Compliance

The GAN Integrity Platform means all your compliance and ethics programs can be managed in one place - now that's better.

Ready for better? Receive a personalized demo.

Schedule your personalized demo of our solutions to start your journey toward a better way to unify ethics, compliance, and risk management across your enterprise.

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