Support regulatory compliance audits: 2337 critical criteria

Regulatory Compliance: Ask This;

TLDR: Ask This;

1. Have you assessed the impact that the regulatory change will have on your business including governance, compliance and risk management frameworks?

2. How can systems be designed to process data on regulatory compliance in ways that will prove helpful for organization staff when revising old rules or creating new ones?

3. How does your organization meet the increasing regulatory compliance demands while improving product quality and decreasing time to market for new products?

4. Do you have records and data management systems for system operating and maintenance data, for regulatory compliance data, and for system management and administration?

5. Does the compliance officer have sufficient knowledge of the relevant regulatory requirements applicable across all jurisdictions, business units, and products of the enterprise?

6. Does the management of regulatory compliance and occupational risk have an impact on safety culture?

7. Is there a system in place to identify and ensure ongoing compliance with regulatory requirements and codes and is it documented as part of the management system?

8. Does your organization have comprehensive legal and regulatory compliance policies and programs?

9. Which aws service helps users meet contractual and regulatory compliance requirements for data security by using dedicated hardware appliances within the aws cloud?

10. Does your organization have an obligation to report compliance with SOX on a regular basis due to regulatory requirements?

11. Does your organization have designated compliance officers in its subsidiaries/business units/geographies?

12. How does management stay abreast of changes in regulatory requirements and other compliance issues?

13. How does your organization manage applications that are subject to regulatory compliance rules?

14. How much authority does the compliance officer have to start a working group to look at changes?

15. Does senior management have enough information to consider compliance with regulatory reporting requirements?

16. Does your department have measures to manage mobile data tracking, back up and archiving for regulatory compliance purposes?

17. Do you have any compliance or regulatory requirements that pertain to the handling of your data?

18. Do you have documented policies and procedures demonstrating adherence to data retention periods as per legal, statutory or regulatory compliance requirements?

19. How would you rate your organizations ability to ensure cloud security and regulatory compliance with your existing SIEM and infrastructure monitoring tools?

20. How do you gain a competitive advantage by ensuring continuous compliance with regulatory requirements and organization policies?

21. What legal, regulatory and contractual requirements must your organization be in compliance with?

22. Which challenges does your organization currently face in fulfilling compliance requirements?

23. Does your organization monitor, measure and ensure policy, process and regulatory compliance of its workforce?

24. What steps are in place to help ensure risks are mitigated and regulatory compliance requirements are met?

25. What type of training does your clinical research team need to ensure compliance with the highest regulatory and ethical standards?

26. Is regulatory compliance adequate for fiscal and financial affairs; does your organization complete its fiscal and corporate regulatory affairs effectively?

27. Are appropriate procedures implemented to ensure compliance with legislative, regulatory and contractual requirements related to intellectual property rights and use of proprietary software products?

28. Does the regulatory authority have the power to ensure compliance with the rules applicable to asset valuation and pricing?

29. Do you have a compliance monitoring and testing program in place that adequately measures your compliance programs operating effectiveness?

30. What aspects of the legislative and regulatory process have had the most adverse impact on total compliance related capital expenditures at your firm?

31. Does the solution satisfy the privacy and security requirements of the enterprise and the regulatory compliance requirements deemed acceptable to your organizations auditors?

32. What has your organization put in place to demonstrate compliance with legal, regulatory or absolute requirements?

33. What is the total number of full time people within your organization focused specifically on designing, implementing, and/or maintaining your organizations ethics and compliance program?

34. How would you rate the effectiveness of the regulatory technology tools that your organization adopted to cope with compliance in relation to its digital transformation initiatives?

35. Is there reason to believe that your organization faces material compliance exposure in any regulatory risk area?

36. What particular compliance related areas does management feel are weak or in need of review?

37. What is your business groups/departments use of risk and compliance management software applications?

38. Does the procedure outline the requirements of the program to periodically review regulatory compliance and report results to management on a yearly basis?

39. Is your organization using the framework for internal control over financial reporting only, or for operations and regulatory compliance as well?

40. What aspect of compliance risk management will drive the greatest demand for increased compliance resources in the coming years?

41. Do you really have compliance program resources to manage every conceivable regulatory requirement?

42. Which smart grid focus areas are considered to be top priorities at your organization from a regulatory compliance and governance perspective?

43. How does regulatory compliance and active audit activity affect your organizations profitability?

44. Is your organization part of an industry that is subject to solid regulatory compliance requirements?

45. Do you collect data regarding compliance with legal or regulatory requirements related to the project?

46. Are there clear internal processes and communication, and reporting lines and responsibilities, in place to ensure regulatory compliance to help maintain investors confidence?

47. How much of your organizations legal and regulatory risk areas would you estimate the compliance department is responsible for managing?

48. Does the bi platform support all the security and regulatory compliance requirements required by your organization?

Organized by Key Themes: MANAGEMENT, QUALITY, RISK, SECURITY, COMPLIANCE, AUDIT, VENDOR, PRIVACY, PROCESS, DATA:

MANAGEMENT:

Does internal audit ensure that your organizations risk governance framework complies with the guidelines?

Oversee that your organization establishes architecture oversight and planning for information and network security technologies; leads development of an information security risk management program that includes business, regulatory, industry practices and technical environment considerations; establishes strategic vendor relationships for security products and services; develops enterprise-wide security incident response plans and strategies that includes integration with business, compliance, privacy, and legal constituents and requirements; provides advanced level engineering design functions; provides trouble resolution and serves as point of technical escalation on complex problems.?

What progress has been made in developing good practices in areas as governance, regulatory compliance, risk, sustainable business models, financial reporting, transparency and leadership?

Check that your strategy is responsible for group risk management including compliance to people, regulators, finance and economic risks for business continuity while interacting with management at all levels and developing the annual risk management and audit plans including the team program and schedule.?

Is there scope for better alignment of data requirements or regulatory processes with other regulators?

Be certain that your process is accountable for defining and operating processes to monitor and assess risk landscape (threats and vulnerabilities, regulatory, business and technology strategy, and other outside influencers) in order to support and communicate an information risk management strategy to align with the enterprise risk management strategy.?

How were the enabling technology development requirements identified and defined for the waste treatment system?

Be sure your operation is using digital tools and innovative methodologies, you work with (internal) clients to address their most complex challenges by assisting them with developing compliance programs, defining regulatory risk management strategies, introducing automation into their business processes, improving compliance capabilities, and modernizing compliance programs overall and working with your (internal) clients to establish other enabling processes and technology.?

Have the requirements been drafted in plain language and in a way that facilitates compliance?

Make headway so that your team facilitates and directs enterprise wide risk management program to ensure compliance with statutory mandates, regulatory requirements and accreditation standards of professional organizations.?

Which business function ensures business and regulatory requirements are met through detailed market, credit, trade and counterparty analysis?

Employ solid risk and security management practices, creative solutions and suitable business judgement in delivering business solutions; ensures adherence to regulatory standards as well as compliance and confidentiality policies.?

How do you get investigators to maintain regulatory compliance?

Participate in risk management activities and in the development of risk files for organization products to ensure compliance with standards and that output is incorporated into product design.?

Have operators been made aware where operational controls are necessary to achieve and maintain compliance to regulatory requirements?

Make sure the department analysis reporting and data output, as well as system administration and project management all must maintain strict compliance with Entity level and business line processes key and secondary SOX controls, regulatory requirements and corporate policies.?

Have you set out data classification criteria and are there controls established to ensure adherence?

Ensure compliance with applicable Quality Management System (QMS)/Information Security Management System (ISMS) standards in the execution of their daily activities and ensuring product or service meets regulatory requirements, (internal) customer requirements and the established QMS/ISMS policies and procedures.?

How do you stay on top of regulatory demands while controlling costs?

Assess, plan, deploy and operationalize high-level and detailed vulnerability and patch management programs translating business needs, architecture, operational structure, and compliance and/or regulatory requirements into cost effective and risk appropriate controls, processes, and procedures tailored to your (internal) clients needs.?

QUALITY:

Are current suppliers, vendors, customers, or competitors involved in any way with your outside activities?

Lead Information Technology (IT) Quality Compliance activities across your organization including setting strategic direction for the function, partnering with IT Operations to ensure minimal risk and effective mitigation strategies with internal and third party supplier systems, acting as a consultant to the (internal) client community, and managing IT compliance staff to ensure regulatory and business requirements are met.?

How is your regulatory training organization utilizing recent innovations in learning design and development?

Liaison so that your strategy is working independently and collaboratively to drive the appropriate activities such as leading and facilitating risk identification, assessment, and controls, guiding risk-based product and manufacturing process development, updating risk management files based on post-market feedback, and utilizing quality system data to make risk based decisions to ensure product safety.?

Does monitoring include a review of the performance by third party product or service providers?

Ensure your team is responsible for the development, implementation and maintenance of corporate Quality Risk Management policies and procedures governing the assessment, control, review and communication of risks across the entire product lifecycle.?

How do you manage growth in the face of a heightened compliance and regulatory environment?

Identify, manage and ensure continuous improvements in the Quality management systems in compliance with business objectives, business excellence standards and requirements of the external certification body.?

Do the affiliates have legal regulatory obligations that depend upon compliance by your organization?

Interface so that your team is responsible for maintaining Quality Assurance Systems/affiliate quality management system to ensure compliance with organization standards and regulatory guidelines.?

What level of support will provider for regulatory compliance, auditing and reporting standards?

Make sure the Auditor 2, Quality Assurance Technology Information Quality invest in the management of overall quality, compliance, and auditing activities to ensure compliance of operations with corporate policies, industry standards, and applicable regulations.?

What are your performance levels and trends for the key measures of regulatory/legal compliance?

Plan, conduct and coordinate quality management system internal audits and process audits to ensure compliance to established procedures, instructions and industry practice and to measure the effectiveness of improvement efforts.?

Do you have evidence to support the use of a standard or risk assessment to achieve the desired outcome?

Ensure a professional involvement managing software quality or safety at a regulated device/product organization and applying risk management and compliance criteria to software development.?

Does the bi platform support all the security and regulatory compliance requirements required by your organization?

Provide leadership in design and implementation of quality engineering to support entire product life cycle with focus on Quality Engineering activities such as reliability, risk management, analytics/statistical techniques, requirements management, verification and validation, and design control across the lifecycle of various products.?

How do you differentiate between an entry level and an advanced level professional?

Be certain that your design oversees governance and compliance management processes; implements quality awareness objectives; develops and maintains vendor quality and compliance guidance/reference materials and tools and provides any other support or knowledge necessary to advance the vision of the department.?

RISK:

How can it be established and confirmed that the chosen safeguarding measures/equipment realize the required risk reduction?

Interface so that your staff interprets accounting standards and regulatory requirements in relation to organization policies and applies control processes to ensure policy compliance and risk management per established standards.?

Are control activities in place and followed to ensure compliance with external requirements, as regulatory and legal rules?

Monitor and test policies and procedures to ensure they are appropriately designed to drive compliance with regulatory obligations, complete a compliance risk assessment to support the design of program activities and inform management of top risks, and execute compliance monitoring and testing activities to ensure policies and procedures are being followed.?

How, and by whom, will the provider handle, control, and process your organizations information?

Partner with the Enterprise Risk Management to define standards and processes and provide subject-matter expertise to oversee vendor information security risk and periodic audits of third-party service providers information security and business continuity controls.?

How much of your organizations legal and regulatory risk areas would you estimate the compliance department is responsible for managing?

Establish that your company is responsible for your organizations Third-Party Risk Management Program including initial and periodic risk assessments, compliance with information security standards, service level agreements and recovery standards, and policy and procedures.?

How do you mitigate legal, insurance and ethical risks associated with your suppliers?

Interface so that your strategy is leading the operationalization of security compliance programs to support various compliance regulations that (internal) client needs to comply with and leading a team of security risk assessment specializations who focus on performing risk assessments that address security threats, changes to systems and/or applications, process improvement initiatives, supplier assessments (including downstream outsourcers) and other requests from the business.?

Does the saas offerings security controls meet all of your organizations regulatory compliance requirements?

Interface so that your staff oversees the creation, update, and maintenance of enterprise-wide technology Continuity of Operation policies, strategies, standards, and procedures necessary to meet the emergency management and associated regulatory needs of the organization to ensure compliance with all applicable regulatory and compliance risk laws and regulations.?

Does the regulatory authority routinely evaluate your organizations compliance with required safety standards?

Work with other members of the Information Security Governance Team to analyze and audit processes, implementations, policy adherence and other information sources to evaluate compliance with multiple regulatory standards and risk management objectives.?

Do you need to be alerted of regulatory updates and how corresponding changes are applicable to your business processes?

Verify that your company is assisting management with process improvement efforts and recommend changes to risk management policies and procedures to ensure compliance with regulatory and (internal) client based requirements.?

Is there anything in your technology stack, customer base, channels or regulatory compliance which might slow down or limit your success?

Make sure the Controls and Governance Officer serves as the Line of Business Coordinator and supports the Business Unit Relationship Manager to ensure the Third Party Providers are in compliance with the Third Party Risk Management program.?

Are documented policies and procedures maintained for enabling compliance with applicable legal, regulatory, or contractual obligations related to information security requirements?

Lead and conduct periodic assessments with priority to support IT and information risk management programs, mitigate risks (both business and technical) to an acceptable level, and maintain compliance with legal and regulatory requirements.?

SECURITY:

Is it proactive and does it seek ways to improve compliance and responsiveness to regulatory changes?

Lead cyber strategy and participate in the strategic planning for the design and implementation of an Enterprise Information Security Management Systems (ISMS) which includes appropriate policies, procedures, operational considerations, IT change control, and IT risk and compliance management programs.?

How do you ensure that your PaaS platform meets the regulatory compliance needed for the infrastructure, middleware, and workload?

Make sure the IT Director, Governance, Risk, and Compliance is responsible for establishing and maintaining your organizations overall IT Governance, Risk and Compliance program, which is designed to ensure that your organizations IT systems and information assets are adequately protected and responsible for identifying, evaluating and reporting on information security risks in a manner that meets your organizations regulatory and other compliance requirements.?

What are the security, compliance, and regulatory implications of migrating applications to the cloud?

Make sure the ISO performs a range of security functions in the context of this coordination mission, such as intrusion and vulnerability detection, incident response, policy development, training and awareness, risk assessment, information system classification and analysis, enterprise identity and access management services, regulatory and compliance attestation, disaster recovery coordination, third-party risk management, and security consulting.?

How do you know if your cloud service is secure and private?

Make sure the Strategic Business Consultants partner with the business and technology organizations to ensure appropriate risk evaluation, mitigation, prevention measures are planned, implemented and monitored in accordance with internal security policies, IT general control requirements, Sarbanes Oxley regulations, and compliance (regulatory) requirements.?

Does the vendor monitor, administer or manage the computers that store or process your data?

Liaison so that your operation is staying current with the changing threat landscape, technology trends, industry standards, applicable regulatory guidance, and best practices related to information security risk mitigation and communicating those concepts in an appropriate business context to management and the Board.?

Is your organization in compliance with all policies, procedures, and regulatory requirements?

Interact at multiple levels of the organization to establish and maintain a strong and adaptive security posture that aligns with organizational risk tolerance, information access requirements, business strategies, and compliance requirements.?

What types of monitoring activities are performed to gauge the execution of compliance policies?

Make sure your organization is creating and maintaining an enterprise technology architecture that is aligned with business objectives, server and desktop support, network systems design and maintenance, help desk management and support, data center, DR planning, security monitoring and control, telecommunications, and data processing operations.?

What is the most appropriate compromise between safety regulation and the transport and economic benefits of some practices?

Participate in internal security assessments and security reviews; conduct security risk analysis of business processes and technology solutions to evaluate whether they comply with internal security policies and standards as well as regulatory industry requirements and security best practices.?

Are more mature results for IT GRC related to better business results, better data protection, and regulatory compliance results?

Make sure the Information Security Analyst Compliance supports the CISO in identifying, evaluating and reporting on legal and regulatory, IT, and cybersecurity risk to information assets, while supporting and advancing the Enterprises business objectives.?

How is the leadership in your service contributing to the development of a positive organizational culture?

Develop an overall risk management strategy with key business and IT stakeholders, including enterprise integration of risk management into operational, regulatory/statutory, financial, technical, and security processes, and creation of disaster recovery and business continuity program.?

COMPLIANCE:

How do you effectively navigate all of regulations and effectively maintain compliance?

Make sure the Compliance and Operational Risk (C and OR) Executive is responsible for leadership and execution of the Compliance and Operational Risk Management (CORM) Program by engaging with business leaders to understand strategy and direction and independently advising those leaders on how to deliver that strategy while effectively managing compliance and operational risk.?

How can asset intensive companies improve plant production and reduce outages, while enhancing worker and equipment safety and regulatory compliance?

Certify your strategy is responsible for assisting the Operational Compliance Manager in developing and implementing compliance programs and material to lead management in making business decisions that reduce potential risk and/or potential consumer harm related to compliance issues.?

What are your performance levels and trends for the key measures of regulatory/legal compliance and community support?

Make sure your workforce supports overall program initiatives such as the creation, management and reporting of compliance/privacy education and training offerings; running data reports to monitor the statistical performance of the program and the organizations compliance with key regulatory requirements; coordinate and maintain key software and information systems application that support ongoing compliance initiatives.?

What compliance challenges arise from new, less regulated technologies as blockchain and cryptocurrencies?

Certify your process is involved in developing, managing and/or administering a compliance program, an internal audit program or other program involving management of governance, risk and/or compliance processes in a complex organization or highly regulated environment.?

Is your relationship with your core service provider an impediment to entering into a partnership with a fintech organization?

Check that your workforce is advising product, engineering, IT, business development, marketing, and other teams on issues related to product development and commercialization, including compliance with laws and regulations on privacy, data security, marketing, consumer protection, risk management, and partner relations.?

How can regulatory affairs professionals add value and efficiency into regulatory compliance practices in medical device development projects?

Oversee that your strategy provides strategic level advice and direction for ethical behavior and regulatory compliance across business areas, directs business areas to ensure ethical and regulatory requirements are implemented into company business practices, and conducts research and incorporates information to help ensure business area ethical and compliance practices.?

Have you considered ways to streamline the advice process – reducing compliance risks, improving efficiencies and profitability?

Verify that your organization identifies, develops, prioritizes, and directs compliance related business activities and process design, technology enhancements, business impact, change management and other efficiencies.?

Does your organization monitor, measure and ensure policy, process and regulatory compliance of its workforce?

Oversee site compliance with the Quality Management System and regulatory requirements pertaining to data governance, including the development of indicators that monitor data governance processes and performance at the Site level.?

How do you coordinate and communicate compliance requirements throughout your supply chain to enable effective execution?

Collaborate with other compliance, business and assurance leaders as well as Internal Audit to support your organizations risk management strategies and coordinate cross functional projects and initiatives.?

Does your system provide alerts/notifications when a compliance violation has occurred or a regulatory threshold has been hit?

Secure that your personnel analyzes trends, news and changes in threat and compliance environment with respect to organizational risk; advises organization management and develops and executes plans for compliance and mitigation of risk; performs risk and compliance self-assessments, and engages and coordinates third-party risk and compliance assessments.?

AUDIT:

How do you respond when executives ask for compliance updates?

Ensure you provide your (internal) clients with a comprehensive suite of consulting and advisory services that include internal audit outsourcing and co-sourcing, enterprise-wide risk assessments, risk management regulatory compliance (including Sarbanes-Oxley (SOX)), advisory and quality assurance, IT audit, cyber security, data governance and data analytics, RPA (robotic process automation and privacy.?

Where is the need for effective process to support corporate policy or regulatory compliance?

Confirm that your workforce coordinates with the cyber, information security, and data privacy teams to identify key risk areas and considerations for the Audit Department support and effectiveness reviews.?

How do you monitor and mitigate the potential corruption related risks associated with interactions with local regulatory officials?

Make sure the team is focused on process improvements through not only its SOX program but also operational internal audits, including data analytics to help the business mature systems and processes, increasing efficiency and scalability while maintaining internal controls to mitigate risks.?

Does internal audit ensure that your organizations risk governance framework complies with the guidelines?

Warrant that your design prepares and updates a comprehensive risk-based audit plan for evaluating the effectiveness of controls in place to manage significant risk exposures, ensures the integrity and reliability of information and financial reporting, safeguards company assets, and complies with laws and regulations.?

Should regulatory compliance be based on explicit instructions to the lowest level of detail or should standard practices and judgment be assumed at certain levels?

Plan and lead the information technology (IT) aspects of the internal audit function; including development of the IT related audit plan and audits of compliance with company policies and internal controls, regulatory requirements, certification standards and best practices.?

How do google cloud customers gain visibility and access to the own audit and security logs?

Coordinate with co-sourced providers, external auditors, internal leaders and process owners to ensure engagement and timely execution of the SOX compliance program for the processes you own in your vertical.?

What regulatory compliance affects you most in undertaking transformation to realize full digital capability?

Assess and monitor internal controls to ensure on-going compliance with legal and regulatory guidelines including Sarbanes-Oxley and annual external audits collaborating with the Financial Compliance Office and process owners.?

Are responsibilities for identifying regulatory risks within the business clearly allocated?

Develop and execute audits, including financial, compliance, operational, IT, regulatory and physical inventory audits, to provide objective evaluations of internal controls and processes to identify areas of risk and operational efficiency.?

What should be the role of an external party in assessing the effectiveness of a compliance function?

Emphasize operational, compliance/regulatory audits, and assessing system configurations, settings, security, data integrity, user access, system implementations, program and project management, and other generally accepted information technology controls in accordance with professional standards, including SOX requirements.?

Are control activities in place and followed to ensure compliance with external requirements, as regulatory and legal rules?

Inspire performs periodic monitoring and audits (as specified by policy and/or audit frameworks) to ensure required regulatory controls and internal policies and processes are being followed.?

VENDOR:

Have you considered ways to streamline the advice process – reducing compliance risks, improving efficiencies and profitability?

Manage communication planning and projects from conception to implementation with the vendor for business area(s) that utilize their services; manage schedules and budgets; ensure compliance with regulatory requirements; track tasks and performance against those tasks; synchronize activities at an enterprise level to increase impact, avoid information overload and achieve cost efficiencies; ensure that communications are in plain language and easily understood by a wide range of audiences.?

How do you coordinate and communicate compliance requirements throughout your supply chain to enable effective execution?

Check that your group directs and oversees the Vendor Management risk assessment routines including the review of vendor due diligence documents for those suppliers flagged with compliance risk and coordination with Supply Chain Management.?

Have there been any significant changes in senior management or directors, within the last year?

Support the design and implementation of a common and consistent vendor risk management (VRM) program to effectively manage vendor risk in accordance with internal policy and overarching/State Regulatory requirements.?

Are policies and the code of conduct translated into appropriate languages for organization?

Manage service provider oversight and vendor due diligence programs for your organization in adherence to your organizations compliance management program and service provider oversight policies, including enhanced oversight for third parties determined to be critical vendors and oversight of vendor compliance with the Supplier Code of Conduct.?

Are you worried about the plethora of regulatory compliance relating to the assessment of your controls framework?

Make sure the Business Continuity Program Manager also leads in collecting and performing vendor due diligence including analysis of vendor System and Organization Controls (SOC) reports and coordinating reviews of contracts.?

How compliance functions are performing globally and is there any regulatory requirement elsewhere?

Manage and enhance the vendor management program, including maintaining policies and procedures, conducting vendor due diligence and performing risk assessments for new and existing vendors.?

Who is responsible for ensuring that supporting tasks and activities are resourced and completed?

Secure that your organization develops and maintains effective business relationships with technology vendors and ensure the service levels are adequate for supporting your organization needs.?

Who is responsible for ensuring that supporting tasks and activities are resourced and completed?

Perform vendor due diligence reviews including understanding business goals, administering questionnaires, obtaining and reviewing supporting documentation, conducting risk assessments, and documenting results and recommendations for cross-functional stakeholders.?

Is there a process for identifying and responding to local regulatory requirements in addition to GDPR?

Ensure your organization also helps enable and advance key objectives by ensuring an appropriate balance between meeting business needs, protecting your organization, and promoting high internal quality standards for both new and existing vendor relationships.?

How do you strike the right balance between enabling growth, optimizing your tax profile, and maintaining compliance to avoid the risk of unwanted regulatory scrutiny?

Make sure the Vendor Management Representative is responsible for day-to-day vendor management activities, which includes maintenance of vendor monitoring activities, data analysis and reporting and maintaining vendor documentation throughout the lifecycle of the vendor relationship.?

PRIVACY:

Does your organization support BYOD that can potentially jeopardize data security and regulatory compliance?

Work with cross-functional business teams, including Legal, Engineering, People Team (HR), Finance, and Security to address potential compliance issues and achieve data privacy program initiatives and provide as-needed support to leaders and stakeholders across your organization.?

Do you ensure the security of critical user credential data on virtualized Microsoft Active Directory domain controllers?

Coordinate the working relationships with IS and other related departments to ensure that privacy is integrated in all System Development Lifecycle Management processes and in any Project Management Methodology developed by business to implement projects and roll out systems and tools.?

How do you manage your business, stay on top of all the regulatory requirements and changes, and still meet your day to day compliance responsibilities?

Read and analyze new Privacy and Security related laws and regulations in order to identify key regulatory changes impacting health information privacy and security compliance, as well as privacy/information security risks and risk mitigation strategies to ensure adaptation and compliance.?

Are there any practices that have become policy by virtue of the frequency of the occurrence?

Collaborate with IT Risk, Information Security, and Data Management to ensure alignment between security and privacy compliance programs, including policies, practices, incident response, and investigations.?

Who is responsible for tracking, trending, and reporting quality system effectiveness metrics?

Check that your team oversees routine data sharing with third parties, performs risk assessments and develops work plans to manage critical risks, maintains effective privacy policies, and assists leadership in implementing strategic privacy initiatives and reporting on all elements of the system privacy program.?

Are system and network environments protected by a firewall or virtual firewall to ensure compliance with legislative, regulatory and contractual requirements?

Invest in implementation and management of a data privacy framework to support role-based user access and routine data sharing with business partners, affiliates, and third-party clinicians, and others with whom protected health information is shared.?

Is there an obligation to work according to a sampling procedure and/or methods of analysis?

Establish and work with a multidisciplinary team, including audit and risk, compliance, HR, legal, business process owners, IT, security and other internal stakeholders to ensure enterprise wide coverage of the privacy discipline.?

Does the regulator monitor how compliance procedures are executed and communicated to employees of entities?

Design and execute audit programs, including security and privacy audits, operational process reviews, system implementation reviews, applications, and other technology related risk areas.?

What are the HIPAA or other regulatory compliance issues of accessing protected data from an off site mobile device?

Provide oversight for the BI and IT departments, Marketing department, Internal Audit and other stakeholders, in order to define, develop, implement and maintain policies and processes that enable consistent, effective privacy practices which minimize risk and ensure the confidentiality of protected consumer information, paper and/or electronic, across all media types.?

What about the disruptive benefits of regulations when regulatory compliance is considered as part of an architecture of innovation?

Work closely with internal teams including compliance, privacy, risk, information security, support and operations to ensure all business requirements are considered in the design process.?

PROCESS:

How do you ensure data protection risks and regulatory requirements are continuously considered and addressed?

Warrant that your group participates in the development of your organization privacy risk assessment strategy to review business processes and evaluate privacy controls necessary to protect sensitive information.?

Do you get to the root of compliance and regulatory issues while aligning to business strategies?

Interface so that your process follows the Plan-Do-Check-Act (PDCA) cycle, to ensure that business processes and process support documentation align with the organizations strategic objectives, operational needs and process governance requirements.?

Have mechanisms to avoid conflicts of interests in the procurement processes been established?

Secure that your staff is accountable for defining and operating processes to provide quantitative analysis of risk, to include the calculation of probability and financial impact of potential loss events and prioritization of risk mitigation activities (based upon calculated ROI and the organizations established risk tolerance).?

Who is responsible for ensuring that supporting tasks and activities are resourced and completed?

Warrant that your group is responsible for compliance with applicable Corporate and Divisional Policies and procedures and maintaining a Validation Master Plan for the sites products, supporting audits and any gap remediations required for Process Validations.?

What categories of tools and technologies, if any, are used to support key components of your compliance program?

Provide overall support and guidance to ensure documented adherence to state and overarching regulations, as well as TC Energy internal programs and processes, to ensure compliance with regulatory requirements and company standards.?

What level of support will provider for regulatory compliance, auditing and reporting standards?

Oversee that your process coordinates and participates in various internal auditing processes to ensure compliance with both internal and external regulatory standards as OHSAS 18001 and ISO 14001.?

Do you have records and data management systems for system operating and maintenance data, for regulatory compliance data, and for system management and administration?

Confirm that your process partners with platforms to conceptualize solution architectures adhering to documented Directions and Standards while addressing business strategies, business capability requirements, business processes, information assets, and the operating model of the (internal) client business area.?

How is the leadership in your service contributing to the development of a positive organizational culture?

Make sure your process is contributing to the architecture, design, implementation and maintenance of Technical Operational processes and procedures as capacity planning, business continuity and disaster recovery.?

Does the regulatory system require that the method chosen for compliance with the incentive alignment approach, including any mandated risk retention requirements, is clearly disclosed?

Check that your process assembles teams responsible for identifying and assessing opportunities and recommending solutions to improve processes, simplify internal/external business processes, and align resources accordingly.?

Has the management system the ability to ensure your organization meets statutory, regulatory and contractual compliance?

Interface so that your organization address the needs of (internal) customers, business teams, stakeholders throughout the operations deployment and support process, ensuring that what is delivered meets the provided goals and objectives.?

DATA:

How do you gain a competitive advantage by ensuring continuous compliance with regulatory requirements and organization policies?

Make sure the Lead Data Governance Consultant is responsible for supporting Data Governance across the enterprise, enabling business growth while ensuring compliance with risk and regulatory expectations.?

How do you ensure that your PaaS platform meets the regulatory compliance needed for the infrastructure, middleware, and workload?

Make sure your strategy is accountable for risk identification, development and prioritization of sensitive data and information governance policies, strategies and initiatives to meet regulatory, and business requirements.?

What cybersecurity advice could help financial services organizations better meet regulatory compliance?

Make sure the VP, Data Privacy is responsible for establishing and maintaining a corporate-wide data privacy governance program to ensure that personal information is collected, handled, and protected responsibly to maintain trust in your organization and meet all regulatory and compliance requirements.?

Is there a plan to update policies and procedures with regulatory changes or at periodic intervals?

Collaborate strong knowledge and involvement of Change management and regulatory compliance requirements impacting IT and HR including, SOX, Data Privacy, and Business Continuity planning.?

How do you support the development of effective leaders at the service?

Support major M and A transactions and complex strategic initiatives to ensure accountability for both data and privacy legal/regulatory compliance and strategic advising; this includes providing advice on secure, confidential and compliant exchange of data during negotiations and due diligence, performing due diligence activities and advising on data and privacy related risks and possible remediation, provide input for agreements and support during negotiations, and advise on and support post-close remediation and integration actions.?

How do you make sure that employees understand the needs of your organization in relation to social media?

Liaison so that your strategy participates in the selection, Proof of Concept, implementation and operational deployment of new security technology solutions to ensure the confidentiality, integrity and availability of business data.?

Is your organization part of an industry that is subject to solid regulatory compliance requirements?

Make sure the associates practice would focus on proactive privacy and data protection compliance matters, including advising on privacy and security considerations relevant to business transactions and commercial agreements.?

How do you strike the right balance between enabling growth, optimizing your tax profile, and maintaining compliance to avoid the risk of unwanted regulatory scrutiny?

Secure that your personnel is involved in data modernization initiatives that include a focus on the democratization and delivery of information to the hands of the business via operational, management and regulatory reports, advanced visualizations and dashboards, exploratory analytics and predictive models for advanced analytics, enabling.?

How do you know if a vulnerability scan or intrusion detection system improves your information security processes and/or reduces the risk to your information assets?

Warrant that your strategy utilizes data and analytics to deliver insight into (internal) customer and business process performance, identifying opportunities to influence (internal) customer and business process activities and inform key stakeholders.?

How do you migrate data while maintaining regulatory and organizational compliance?

Make sure the laboratory information systems (lims) specialization is responsible for supporting site business in updating master data for new and existing products, updating master data for new and existing analysis and maintaining system documentation.