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

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

Last Updated: 6/27/22