PHAROS COMPLIANCE
  • Home
  • Compliance Manual
    • Table of Contents
    • INTRODUCTION -STORY LINE
    • Meet the Team
    • Preface - Why this book is different
    • PART I: Why Compliance?
    • Part II: The journey - What will compliance deliver? >
      • Risk Control Framework
    • PART III: ARRIVAL AND FRUSTRATION: THE SCOPE IS BIGGER THAN ANTICIPATED!
    • PART IV: THE LAST HURDLES
    • PART V: MISSION ACCOMPLISHED
  • Community
  • Contact
  • DISCLAIMER
  • About us
  • Home
  • Compliance Manual
    • Table of Contents
    • INTRODUCTION -STORY LINE
    • Meet the Team
    • Preface - Why this book is different
    • PART I: Why Compliance?
    • Part II: The journey - What will compliance deliver? >
      • Risk Control Framework
    • PART III: ARRIVAL AND FRUSTRATION: THE SCOPE IS BIGGER THAN ANTICIPATED!
    • PART IV: THE LAST HURDLES
    • PART V: MISSION ACCOMPLISHED
  • Community
  • Contact
  • DISCLAIMER
  • About us

Compliance Risk & Control




Framework


Components

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Roles and accountability for compliance: 3 lines of defense

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Plan of Approach

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Pieces of the puzzle

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Control Documentation Sheet

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What it looks like per control

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  • When a test is due the tester is notified per mail with a link to a landing page “My dashboard”
  • In My Dashboard (s)he sees how many tests and/or assessments are assigned and the status
  • (S)he clicks on a test/assessment and can see the above information
  • Follow the instructions ending with a statement ‘effective’ or ‘not effective’. 
  • Then the control is closed (green) or goes to the next step (create issue (orange), not effective (red))
  • An overview with a status of the controls, red flag indicators and issues can be retrieved
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