Risk Assessment Sample Questions Checklist


Summary

This checklist reflects StoneTurn's distillation of the key themes from the compliance program expectations of government regulators around the world and six essential elements of corporate compliance best practices that should be present in every company's compliance program: (1) Leadership, (2) Risk Assessment, (3) Standards and Controls, (4) Training and Communication (5) Oversight and Reporting, and (6) Response and Enhancements. This framework serves as the structure for the interview questions listed below. (This is a limited sample set of questions. Actual questions and follow-up queries posed in a risk assessment should be based on the scope and focus of the risk assessment, the company's industry and/or business sector, the level and position of the interviewee, and information gathered from the review of internal documents.)