A Checklist to Prepare for Your SSAE 16 (SOC 1) Audit

by Sarah Harvey / December 19, 2022

If your customers rely on you to protect consumer information, chances are you may be asked to produce an SSAE 16 audit report. An SSAE 16 audit is a reporting on the controls at an organization that are relevant to, or may affect a client’s financial statements. This standard is designed to demonstrate that an organization has proper internal controls and processes in place to address information security and compliance…

Creating a Culture of Compliance within your Organization

by Sarah Harvey / June 15, 2023

We are here to help companies make managing compliance, well, manageable. We’ve defined the role and responsibilities of the Chief Compliance Officer. We’ve helped delineate what a Compliance Management System (CMS) is all about. We are now here to share the next best kept industry secret to achieving compliance success – creating a culture of compliance within your organization. You can tell a lot about a company’s overall compliance posture…

Secure Web Application Best Practices

by Sarah Harvey / December 16, 2022

It isn’t news that maintaining a secure web environment is extremely important in today’s technological climate. Performing regular scans and tests of your security posture is best practice and becoming an essential piece to maintaining security at your organization. Web applications have become a common target for hackers, thus the need for better practices. Last week, we tapped into our own developers’ minds to help us put together a list…

Top 10 Scorecard Components for Call Monitoring

by Sarah Harvey / June 15, 2023

As a Chief Compliance Officer, call monitoring is a big part of managing the compliance within your organization. It’s your responsibility to determine: Are your collectors compliant with federal and state laws? FDCPA? CFPB? Are they meeting contractual agreements with clients? An effective call monitoring program is essential to your overall compliance. Call Monitoring Scorecard One of the ways you should monitor your collector calls is by developing and using…

Chief Compliance Officer Series: Creating a Culture of Compliance

by Sarah Harvey / December 16, 2022

A Culture of Compliance Are you curious about the steps you can take to create a positive culture of compliance within your organization? Are you looking for tips on how to create incentive programs, overcome bad habits, and eliminate negative behavior? Are you interested in learning about ways to communicate risk in order to change the direction of your management? This webinar will provide an overview of the ways in…