Risk governance & compliance

1. Brief service summary

Clarify how risks and compliance matters are brought to decision-makers, decided upon and monitored. The engagement prepares responsibilities, governance bodies and information processes, without presuming that formalized governance guarantees effective control of exposures.

2. Your needs

Several functions deal with risks, controls and obligations, but their roles overlap or remain poorly connected to decision-making bodies. Some alerts circulate without clearly assigned handling responsibilities.

You wish to organize consistent oversight and distinguish operational responsibility, monitoring and independent assessment.

3. Objectives of the engagement

The engagement aims to clarify mandates, structure reporting and prepare decision rules. It helps distinguish information, recommendations, decisions and implementation checks.

The objective is to make responsibilities understandable, with explicit handling of disagreements, exceptions and expertise needs.

4. Indicative scope

Work may cover governance bodies, policies, responsibilities and reporting. Decision, acceptance or escalation criteria are proposed for approval by competent persons.

Compliance matters are connected to their responsible parties and specialist validations. Independence of control or audit functions is examined according to context, without assigning a regulatory function merely through an organizational recommendation.

5. Possible delivery arrangements

Document review, interviews and decision-process workshops allow actual arrangements to be compared with needs. Tabletop scenarios may examine understanding of roles, without creating an actual delegation.

6. Possible deliverables

Deliverables may include a governance framework, a responsibility matrix, alert processes and templates for reviewing risks and decisions.

7. Conditions and limitations

The engagement does not certify legal or sector compliance. Qualifications, responsibilities and mandates must be confirmed. Service 03.09 structures compliance arrangements; 11.02 the risk management cycle and 20.03 the company's general governance bodies. No oversight authority is implicitly transferred to the provider.