Regulatory Compliance Process Playbook

This detailed playbook provides compliance officers and legal teams with a structured framework for managing regulatory compliance within an organisation.
It includes:
– Step-by-Step Process Flow: Outlines key subprocesses—Identify Regulations, Develop and Approve Policies, Employee Training and Evaluation, and Monitor and Report Compliance. Each subprocess includes specific tasks, decision points, and error-handling procedures to ensure compliance with regulations, effective employee training, and ongoing monitoring of compliance efforts.
– RACI Framework: Clarifies roles and responsibilities within the regulatory compliance process, ensuring that compliance managers, legal advisors, training coordinators, and employees are appropriately involved and accountable at each stage of the process.