Risk & Compliance

Regulatory mandantes, local laws, Data Protection, Privacy, Quality Standards

mitigate risk

Identification, prioritization and recommendations to address applicable external compliance requirements, including but not limited to regulatory industry mandates (e.g. SEC, Independence, AML), local laws (i.e. taxation, payroll, facilities code), Data Protection & privacy (e.g. GDPR, HIPAA,), Operational (i.e. AICPA-SOC) and Quality (i.e. ISO, ISQC).

Compliance with internal standards may be included as part of this component, depending on the organization.  An integral risk management function will address Regulatory, Reputational, Financial, Security, Data Protection and operational risk.

Key Questions


External Requirements

Prioritized list of external compliance requirements, including, but not limited to, industry mandates, local laws, Data Protection & privacy, Operational and Quality

Risk Management Plan

Development of an integrated plan encompassing risk types, entities, priority, responsibility that outlines requirements, actions and overall schedule.

Training Approach & Materials

Development or update of training materials and training plans to include both mandatory and optional content required to ensure compliance by sites and individuals.

Operational documents

Operational documents updated to comply with all identified compliance requirements. This includes Processes, user guides, operational guides, training, etc.

Local Requirements

List of local compliance requirements (e.g. taxation, payroll, facilities code), local institutions and actions to comply with them.

Testing Approach & Schedule

Definition of the set of internal corporate actions, including what, who and when, that will ensure compliance is tested and remedied on a periodic basis.

Legal Document Integration

Updated legal documents (e.g. Services agreements, Statements of work) to include all applicable compliance requirements.

Reviews & Certifications

Support for visits of external auditors and individuals that will conduct audits, issue reports and/ or certifications to specific sites, functions or individuals.




Partnerships and other inquiries, please contact us at info@digitixe.com