Monthly Compliance Review ( OPERATIONS )

This checklist is designed to ensure that all operational processes comply with established regulations and company policies on a monthly basis. It helps in identifying any discrepancies and taking corrective actions promptly.

• Review Compliance Documents

  Gather all relevant compliance documents and ensure they are up to date and accessible for review.

• Assess Operational Processes

  Evaluate each operational process to ensure adherence to compliance standards and identify areas for improvement.

• Conduct Staff Training

  Facilitate training sessions for staff on compliance requirements and updates, ensuring everyone understands their responsibilities.

• Collect Compliance Feedback

  Obtain feedback from employees regarding the compliance processes to identify potential issues and gather suggestions for improvement.

• Document Findings

  Record all findings from the compliance review, including areas of non-compliance and recommendations for corrective actions.

• Review Corrective Actions

  Review and approve any corrective actions proposed by teams to address compliance issues identified during the assessment.

• Submit Compliance Report

  Prepare and submit a detailed compliance report to management, outlining the findings, actions taken, and any areas needing further attention.