Oversight Controls for "A" Risks at All Levels of the Institution
|
Institutional Level |
“A” Risks Covered |
Who Provides Oversight Controls |
On Whom Oversight Is Provided |
For Whom Oversight Is Provided |
|
Institution |
Institution “A” Risks |
Compliance Officer and Function |
Responsible Party |
President |
|
Risk Area |
Risk Area “A” Risks not included above |
Risk Area Responsible Party |
Work Unit Management |
Compliance Officer |
|
Work Unit |
Work Risk Units not included in either above |
Work Unit Management |
Work Unit Employees |
Risk Area Responsible Party |