Assignment Project: Monitor and Report Breaches in Compliance
Assignment Description:
An effective compliance management system incorporates risk management and compliance management procedures to ensure that organisations continue to comply with both internal and external regulatory, professional conduct and best practice requirements.
The organisations have an obligation to monitor adherence to the compliance requirements and standards, implement a risk management program, and an effective process for identifying, reporting, and managing breaches.
In this team-based task, teams will be formed to play the role of an "Internal Audit" team (for compliance monitoring and reporting purpose) within a sample organisation. The sample organisation used in the previous task (Assessment Task 1) must be used. With the team, one of the compliance procedures developed in the previous task will also be used. Your trainer/assessor will guide you with the appropriate reference with the role of the "Compliance Manager". Teams will be formed early in the term and the team member have to ensure that they obtain and verify all the task information from the trainer/assessor, and plan and execute team work, including the project work allocated in the learning sessions.
In this task, your team will be;
1) Review a report based on an audit of organization's information system (sample data used to emulate a real-life system in a classroom environment)
2) Review customer complaints (4 complaints)
3) Allocate work to team members (role-play)
4) Identify and classify breaches in the complaints, with reference to the relevant legislation/code/standard (each complaint)
5) Provide a brief report (preliminary 1-page dot-point report) to your Compliance Manager (trainer/assessor role-play) advising a summary of breaches
6) Conduct a Risk Assessment (Ref: AS-4360:2004)
7) Consult with your "Compliance Manager" (trainer/assessor role-play) and research external sources for information on the required rectifications/remedies
8) Develop and present an Action Plan for implementing measures to addresses the breaches (class audience as organizational stakeholders) and obtain feedback/suggestions
9) Refer any major breaches to senior management for action (include in the recommendations section of your report)
10) Write and submit the final report.
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