Planning compliance-related assessments: good practice recommendations

Headshot JuliePosted by Julie Delazyn

Last week I wrote about the business benefits of assessments that mitigate risk and help ensure compliance– as described in our white paper, The Role of Assessments in Mitigating Risk for Financial Services Organizations, This paper offers a great deal of information about these kinds of assessments and advice about best practices for implementing a legally defensible assessment program.

The paper describes five stages of deploying assessments — from planning to analytics — and offers recommendations for good practice for people in these six job roles:

  • Chief Compliance Officer, responsible for compliance in the organization
  • Compliance Officer, who runs the assessment part of the compliance program
  • Authoring Expert, the authoring team lead
  • SME, the Subject matter expert who authors and reviews questions
  • Trainer, who trains in compliance
  • IT Specialist, responsible for IT setup

Compliance five steps

Some of these recommendations are specific to Questionmark technologies, but most can be applied to any testing and assessment system.

Today, let’s look at good practice for the first of the five stages: planning:

Planning - Compliance

Click here to read the paper, which you can download free after login or sign-up.

3 Responses to “Planning compliance-related assessments: good practice recommendations”

  1. […] week I wrote about planning compliance-related assessments, the first post in a five-part series offering good practice recommendations as described in our […]

  2. […] shared pointers about Planning, Deployment and Authoring in previous posts. For today, here are some tips about […]

  3. […] shared pointers about Planning, Deployment, Authoring and Delivery in previous posts. For today, here are some tips about […]

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