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Illustrations

OCEG Illustrations include the acclaimed GRC Illustrated Series and a number of eBooks. The cliché is that a picture speaks 1,000 words. Considering the huge and diverse audiences we all must reach these days, and the complex subject matter, visualization can only help.

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  1. Illustration – Engaging the Evolving Workforce in Compliance

    Illustration – Engaging the Evolving Workforce in Compliance

    The workforce is becoming more diverse by generations, geographies and cultures. People are working from scattered locations. The options for how we consume information are more varied than ever and a preference for short, easy to research and personally relevant content is on the rise. Compliance must evolve to keep up with these changes by offering interactive policy and training resources through a variety of mediums with access at the workplace and on the go.

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  2. Illustration – Privacy Risk Management and Compliance

    Illustration – Privacy Risk Management and Compliance

    Organizations that handle personal information face increasingly complex challenges to effectively manage privacy risk and compliance. The impact of these challenges covers the entire information life cycle.   An effective data privacy management has defined, auditable processes and policies that are consistent with the Fair Information Practice Principles.

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  3. Illustration – 3rd Party Series #4 The Building Blocks of Supply Chain Risk Management

    Illustration – 3rd Party Series #4 The Building Blocks of Supply Chain Risk Management

    Supply chains present almost unimaginable complexity; often having an undefined and ill-managed number of levels with various parties involved across multiple supply chains. Each of these “links” in the chain presents a range of risks. The challenge of effectively managing the ever-changing and often cumulative risks in thousands of continually shifting supply chains can be overwhelming. Having a well developed capability with appropriate technology, processes and assignment of responsibilities is essential.

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  4. Illustration – Maturing Audit Plans and Processes

    Illustration – Maturing Audit Plans and Processes

    Historically, the relationship between audit, risk and compliance capabilities has been shallow – if it existed at all. Less mature audit approaches have addressed regulatory compliance but have failed to use risk management and performance metrics information to scope and efficiently perform audits that are targeted to the entity’s real issues. Today, technology enables a more mature approach to audit, using compliance and risk capabilities to improve and dene audit plans and processes that bring...

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  5. Illustration – Engaging Employees With Interactive Policies

    Illustration – Engaging Employees With Interactive Policies

    Today’s employees are more comfortable with interactive, social, and mobile technologies than ever before. Employers who move away from simplistic file-sharing of documents to take advantage of innovative and accessible methods of communication are better able to ensure that employees get the information they need when they need it. By providing a unified, interactive policy portal that delivers each employee a customized library of the policies, procedures and training they need, a company can enhance...

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  6. Illustration – Managing Conduct Risk in a GRC Context

    Illustration – Managing Conduct Risk in a GRC Context

    If conduct risk is the risk to the delivery of fair customer outcomes – a definition from the UK’s Financial Conduct Authority – then it is clear that it touches every part of a governance, risk and compliance (GRC) framework. Conduct Risk Management integrates with GRC – whether it is ensuring compliance to new conduct risk rules, managing conflicts of interest, preventing market abuse, or building robust audit procedures around new product development processes.

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  7. Illustration – 3rd Party Series #3 Third-Party Risk Management in Financial Services

    Illustration – 3rd Party Series #3 Third-Party Risk Management in Financial Services

    Banks and other financial services providers have increasingly complex relationships with third parties both at home and abroad.  As outsourcing of key functions, sales and customer relations expand, and third parties themselves turn more to the use of subcontractors, the risks presented become more complex. Companies that use an integrated technology based management system can establish effective control throughout the third-party lifecycle.

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  8. Illustration – Pathway to Principled Performance

    Illustration – Pathway to Principled Performance

    Just about all but the most corrupt companies want to achieve results while preserving integrity, but getting there is another story. It often involves integrating and orchestrating information and functions that, in many organizations, are fragmented and siloed.Despite the need to integrate and harmonize in support of the health and success of organizations, many companies manage these activities in disparate departments with little if any cross-functional communication. Even worse, in others, these activities are not...

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  9. Illustration – 3rd Party Series #2 3rd Party Anti-Corruption Management

    Illustration – 3rd Party Series #2 3rd Party Anti-Corruption Management

    Managing third parties for bribery and corruption risk requires a consistent, technology supported approach to assessing risk, conducting due diligence and analysis, delivering training, invoking controls, ongoing monitoring, and periodic re-evaluation. A consistent method to risk score each relationship and a book of record for each third party ensures a systemic understanding of relevant information and a well documented audit trail.

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  10. Illustration – 3rd Party Series #1 Integrated 3rd Party Management

    Illustration – 3rd Party Series #1 Integrated 3rd Party Management

    In today’s complex economy, your suppliers, distributors, sub-contractors, agents and other 3rd parties play critical roles in your business success.  Its too complex to manage without an integrated strategy that includes people, process and technology . This illustration demonstrates how to protect and grow value by establishing a capability to see your entire 3rd party landscape with real time information about external and internal events that may change risk profiles and impact performance.AN OCEG ROUNDTABLE:...

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  11. Illustration-The Next Generation Code of Conduct

    Illustration-The Next Generation Code of Conduct

    Your Code of Conduct has to be relevant and relatable to a whole new generation of employees. The old three-ring binder on the shelf or an email link to a pdf file won’t cut it anymore. For your Code to truly define and inspire the right behavior, it has to engage employees in all geographies and promote real interaction.  Codes of conduct that are delivered through modern communication methods that allow the user to engage,...

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  12. Illustration-Risk-Based Education and Training

    Illustration-Risk-Based Education and Training

    A risk-based approach enables your organization to provide appropriate levels of training and education for different communities and individuals across the organization based on factors such as role and geography. This targeted approach goes beyond simple ‘check box’ compliance and ensures a more effective use of budget by focusing  training efforts to maximize the return on the investment.

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  13. Illustration – The Federated GRC Approach

    Illustration – The Federated GRC Approach

    Governance, risk management and compliance (GRC) is a function that spans layers of the extended enterprise. Many organizations struggle as silos separately structure and manage GRC in inefficient and ineffective ways, while others attempt to centralize everything. The federated approach optimizes outcomes by balancing coordination of shared GRC resources and services with distributed business unit management of GRC and centralized oversight.

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  14. Illustration – Integrated Compliance & Ethics Metrics

    Illustration – Integrated Compliance & Ethics Metrics

    Every organization should integrate information, processes, and systems to deliver metrics that support the ability of the business to achieve objectives while addressing uncertainty and acting with integrity. Measuring and analyzing compliance and ethics efforts ensures a well-run capability, supports organizational integrity and delivers information for strategic and operational decision-making that is essential to organizational performance.

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  15. Illustration – The Path to Compliance Obligation Management

    Illustration – The Path to Compliance Obligation Management

    Organizations are plagued by a flood of compliance-based requirements driven by laws, contracts, standards, and other influencers. By following the path to effective Compliance Obligation Management (COM), the organization and subject matter experts can work in a synergistic way to re-tune the compliance program, mitigate risk, and satisfy regulators, auditors, directors, and other stakeholders.

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  16. Illustration – Prevent Retaliation with a Speak-Up Culture

    Illustration – Prevent Retaliation with a Speak-Up Culture

    When employees don’t know how to report concerns about unethical conduct or are afraid to do so, your company can face serious risks that could harm your reputation or worse. Incidents can spiral out of control, lead to whistleblowing and end up in claims of illegal retaliation. Here’s a look at how a robust issue management program can reduce your risk by encouraging internal reporting and a speak up culture.

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  17. Illustration – How to Conduct Global HR Investigations

    Illustration – How to Conduct Global HR Investigations

    When a situation arises requiring HR to launch an investigation, it is often a crisis. Reacting without forethought in the heat of the moment can lead to rushed, unplanned and ultimately less-effective investigations that can make the situation worse. Diving directly into interviews is a common but critical mistake; interviews are essential investigative tools, which must be strategic and well planned to be effective. The following practical steps will help you use interviews effectively to further investigation goals, consistent with compliance requirements and best practice.

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  18. #6 Análisis de Datos en Materia Anticorrupción

    #6 Análisis de Datos en Materia Anticorrupción

    Las compañías enfrentan importantes obstáculos económicos a medida que se reducen los márgenes y crecen las expectativas de utilidades. El implementar y monitorear un sólido programa de cumplimiento anticorrupción bajo estas condiciones puede ser desalentador. El análisis forense de datos – conocido como análisis Antisoborno y Anticorrupción o análisis ABC (por sus siglas en inglés) – puede ayudar a las compañías a utilizar el descubrimiento de datos de manera rentable y eficiente para mejorar sus esfuerzos anticorrupción.

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  19. #3 Adminstratión de Problemas Anticorrupción

    #3 Adminstratión de Problemas Anticorrupción

    VELOCIDAD, RIGOR, INDEPENDENCIA, MEJORA – Cada organización debe tener una sólida capacidad para identificar, priorizar, investigar y solucionar el soborno y otras actividades corruptas, así como las debilidades en el sistema de cumplimiento. Aunque pueda ser una tarea abrumadora, esta ilustración puede ayudar a implementar o mejorar el proceso de investigación y evitar problemas comunes.

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