If there is a compliance management framework and it is known which risks are involved, it is advisable to review the policy regularly. Does the organization meet the requirements arising from legislation and regulations, its own rules and procedures and any benchmarking? Simon Consulting checks in an audit whether the compliance management framework is up to standard and whether the employees are equipped for correct compliance with it.
In addition, we determine in an audit whether the organization has adequately implemented points for improvement from a previous audit and whether the compliance management framework is aligned with current legislation and regulations.
With a compliance audit we want to ensure that our customers have the certainty that they have an effective compliance management framework.
An audit is often the final piece in a compliance process. Here we test and measure whether the compliance management framework provides for correct compliance with legislation and regulations and our own rules and procedures.
Certification and applied standards
The audits are performed on the basis of international standards. Our auditors are certified to perform ISO 19600: 2014 and ISO 37001: 2016. These standards therefore form the measuring point against which we test the design of the compliance management framework.
How often should I have an audit performed?
It is advisable to have an audit carried out periodically, preferably annually, if possible also on the ethical aspects that are reflected in the behavior of the employees.