Problem Solving And Communication

Running head: IMPLEMENTATION PLAN FOR COMPLIANCE PROGRAM
IMPLEMENTATION PLAN FOR COMPLIANCE PROGRAM
Name of Student
Name of the University
Author Note

IMPLEMENTATION PLAN FOR COMPLIANCE PROGRAM1
Compliance management system
The management information system of the compliance management system will help in
looking over at not only one compliance issue but also look after risk, governance and
compliance with the help of a platform that is multi-regulatory. This system will help in not only
solving the present business problems but also problem that might arise in future. This system
will be replacing the existing system by directing all the business flows towards the new system
thereby helping in baseline configuration. Some of the most important components of the
Compliance management system are that of management board to look after all the matters,
various programs of compliance, identifying all the complaints of the customers and responding
to the same. Creation of various policies and procedures for this purpose and to take corrective
actions.
Personnel
A compliance manager or a compliance officer can be there to look after matters of
compliance and to ensure that the organization functions effectively by complying with all the
internal and external compliance requirements. The external consultant can help in providing
professional advice and suggestion regarding the compliance with various rules and regulations.
The personnel suitable in the case of the company under study are external consultant. The
consultant can carry out regular analysis of compliance programs or systems and look after
overall compliance requirements. The compliance manager can look after internal compliance
requirements.

IMPLEMENTATION PLAN FOR COMPLIANCE PROGRAM2
Training
From the training need analysis, it can be said that the employees need to improve their
communication skills, decision making skills, problem solving skills and conflict management
skills. In order to improve the same, training will be given to the employees by a compliance
trainer. The options that will be given to the employees is that the time can be decided by them.
Processes
A compliant management system helps in reducing the time taken to resolve all the
customer complaints as against the traditional methods. This system puts the customer at the
center of all organizational activities. In order to create a culture of compliance management
within the organization is that the leader should have a strong vision for giving a positive
direction to the employees towards a compliance system; there is a need for effective
communication within the organization such that the employees understand the importance of
compliance management within the organization. An effective plan can be adopted for this
purpose to ensure regular checks on the compliance management system such as the plan, do,
check and act. Non-compliance can be identified and reported during site visit or during
monitoring process, during an external or internal audit and it can also be reported by the staff.
for instance any action undertaken by the employees which is not within the procedures or the
documents. In order to ensure the compliance to the policies and procedures, it is necessary to
identify the deadline of the policies, to ensure that the documents containing the same are easily
available to the people and others. There should be some method for measuring the level of
understanding. The indicators that can be used for the purpose of the complaint is that of Key
performance indices. In order to manage risk within the organization through the compliance
management system it is necessary to examine the regulatory and non-regulatory risk. For this