Institutional Compliance

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 “A” Risks

Compliance Officer and Function

Responsible Party


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

Last Updated: 1/3/23