Mauricio Escobar’s Post

🔸 Why You Need A Better Approach to Compliance 🔸 When organizations endeavour to achieve compliance many take a by-the-element approach. This comes from years of prescriptive regulations and a focus on implementing "shall statements" in order to pass certifications and audits. When the focus is on meeting "shall statements" rather than advancing compliance outcomes we find these familiar steps: 1. Understand the elements of the regulation or standard. 2. Map existing practices to the elements. 3. Identify where current practices do not meet the standard. 4. Engage these deficiencies in a Plan-Do-Check-Act (PDCA) cycle. 5. Target these deficiencies for compliance with the standard. This approach is not without limitations, notably that it often fails to deliver operational systems fast enough or at all. Organizations usually run out time, money, and motivation to move beyond the parts of a system to implementing the interactions that are essential for a system is to be considered operational. For compliance to be effective in today’s landscape another strategy is needed that: - Achieves operational status sooner, - Creates and advances benefits over time, - Provides a platform to build-measure-learn with the least cost We know from systems theory that systems are never the sum of its parts but rather the product of its interactions. It is these interactions that cause emergent properties to be created. For compliance systems these are the outcomes we are targeting: zero incidents, zero violations, zero fatalities, zero emissions, and so on. Lean Compliance's approach emphasizes system interactions to achieve operational status sooner than traditional by-the-element approaches to compliance. Our methodology includes the following objectives: 1. Identify and evaluate mandatory and voluntary: prescriptive, performance, and outcome-based obligations. 2. Map obligations to existing governance, programs, systems, and processes. 3. Identify and evaluate measures of conformance, performance, effectiveness, and assurance 4. Identify and evaluate uncertainties to meeting targeted goals and objectives. 5. Identify and evaluate capabilities, capacity, and performance to meet and sustain obligations. 6. Establish minimal viable compliance (MVC) based on essential behaviours and properties that can be improved on over time. 7. Elevate compliance effectiveness by improving MVC using a build-measure-learn process. Compliance might start off looking like a bicycle but will soon look like a motorcycle, and then a car. Instead of an assortment of disparate compliance parts not working together that might someday deliver on your commitments, you will have a system that delivers benefits right from the start and improves over time. 🙋🏻 Join our weekly Elevate Compliance Huddle ✉️ Subscribe to our Newsletter 🚀 Supercharge your Compliance with Proactivity 📍Lean Compliance - The Proactive Compliance Experts

🔸 Why You Need A Better Approach to Compliance 🔸 When organizations endeavour to achieve compliance many take a by-the-element approach. This comes from years of prescriptive regulations and a focus on implementing "shall statements" in order to pass certifications and audits. When the focus is on meeting "shall statements" rather than advancing compliance outcomes we find these familiar steps: 1. Understand the elements of the regulation or standard. 2. Map existing practices to the elements. 3. Identify where current practices do not meet the standard. 4. Engage these deficiencies in a Plan-Do-Check-Act (PDCA) cycle. 5. Target these deficiencies for compliance with the standard. This approach is not without limitations, notably that it often fails to deliver operational systems fast enough or at all. Organizations usually run out time, money, and motivation to move beyond the parts of a system to implementing the interactions that are essential for a system is to be considered operational. For compliance to be effective in today’s landscape another strategy is needed that: - Achieves operational status sooner, - Creates and advances benefits over time, - Provides a platform to build-measure-learn with the least cost We know from systems theory that systems are never the sum of its parts but rather the product of its interactions. It is these interactions that cause emergent properties to be created. For compliance systems these are the outcomes we are targeting: zero incidents, zero violations, zero fatalities, zero emissions, and so on. Lean Compliance's approach emphasizes system interactions to achieve operational status sooner than traditional by-the-element approaches to compliance. Our methodology includes the following objectives: 1. Identify and evaluate mandatory and voluntary: prescriptive, performance, and outcome-based obligations. 2. Map obligations to existing governance, programs, systems, and processes. 3. Identify and evaluate measures of conformance, performance, effectiveness, and assurance 4. Identify and evaluate uncertainties to meeting targeted goals and objectives. 5. Identify and evaluate capabilities, capacity, and performance to meet and sustain obligations. 6. Establish minimal viable compliance (MVC) based on essential behaviours and properties that can be improved on over time. 7. Elevate compliance effectiveness by improving MVC using a build-measure-learn process. Compliance might start off looking like a bicycle but will soon look like a motorcycle, and then a car. Instead of an assortment of disparate compliance parts not working together that might someday deliver on your commitments, you will have a system that delivers benefits right from the start and improves over time. 🙋🏻 Join our weekly Elevate Compliance Huddle ✉️ Subscribe to our Newsletter 🚀 Supercharge your Compliance with Proactivity 📍Lean Compliance - The Proactive Compliance Experts

🚀 Introducing the Role of a Compliance Manager: The Unsung Hero in Your Organization 🚀 As businesses continue to navigate complex regulatory landscapes, the importance of a Compliance Manager has never been more evident. These professionals are the glue that ensures your organization remains secure, compliant, and audit-ready at all times. 🌟 What makes a great Compliance Manager? ✅ Deep understanding of evolving regulations ✅ Strong communication skills to bridge the gap between teams ✅ Expertise in managing audits and certifications ✅ A proactive approach to addressing risks before they become issues But here's the challenge: many Compliance Managers are overwhelmed by manual processes and the constant need to stay updated with ever-changing standards. 💡 That's where Secureframe comes in. Our platform automates much of the compliance work, giving Compliance Managers the time and tools to focus on strategic initiatives and ensure the organization's long-term success. Want to empower your Compliance Manager and streamline compliance processes? Learn more below! 🔗 #Compliance #RiskManagement #AuditReady #Automation #ComplianceManager #Secureframe

🔸Compliance Operability Assessment Using Total Value Chain and Compliance Criticality Analysis🔸 Why Is This Assessment Necessary?   For compliance to be effective, it must generate desired outcomes. These outcomes may include reducing violations and breaches, minimizing identity thefts, enhancing integrity, and ultimately fostering greater stakeholder trust. Realizing these benefits requires compliance to function as more than just the sum of its parts. Unfortunately, many organizations focus solely on individual components rather than the whole system – they see the trees but miss the forest, or concentrate on controls instead of the overall program. Too often, compliance teams work hard and hope for the best. While hope is admirable, it's an inadequate strategy for ensuring concrete outcomes. To elevate above merely a collection of parts, compliance needs to operate as a cohesive system. In this context, operability is defined as the extent to which the compliance function is fit for purpose, capable of achieving compliance objectives, and able to realize the benefits of being compliant.   The minimum level of compliance operability is achieved when: All essential functions, behaviours, and interactions exist and perform at levels necessary to create the intended outcomes of compliance.   This defines what is known as Minimal Viable Compliance (MVC), which must be reached, sustained, and then advanced to realize better outcomes.   For this to occur, we need a comprehensive approach. We need:   ➡️ Governance to set the direction ➡️ Programs to steer the efforts ➡️ Systems to keep operations between the lines ➡️ Processes to help stay ahead of risks   All of these elements must work together as an integrated whole.   To use an analogy, an effective compliance system may not need to be as complex as a car, but it should be at least as functional as a bicycle. The key point is that it must be more than just a box of disconnected car or bicycle parts.   This holistic perspective on compliance operability allows organizations to:   ➡️ Identify gaps with their current compliance ➡️ Prioritize areas for improvement ➡️ Ensure that all components of the compliance system are working in harmony ➡️ Continuously improve and adapt their compliance efforts   By conducting a Compliance Operability Assessment, organizations can move beyond a piecemeal approach to compliance and develop a robust, systemic strategy that is more likely to achieve desired outcomes and create lasting value.   You can read more about this assessment and how Total Value Chain and Compliance Criticality Analysis are used to determine overall compliance operability maturity in our latest article. This post is an 8 minute read and one you may need to refer to often: https://lnkd.in/gU_enqTy #leancompliance #lean #compliance

🔸Compliance Operability Assessment Using Total Value Chain and Compliance Criticality Analysis🔸 Why Is This Assessment Necessary?   For compliance to be effective, it must generate desired outcomes. These outcomes may include reducing violations and breaches, minimizing identity thefts, enhancing integrity, and ultimately fostering greater stakeholder trust. Realizing these benefits requires compliance to function as more than just the sum of its parts. Unfortunately, many organizations focus solely on individual components rather than the whole system – they see the trees but miss the forest, or concentrate on controls instead of the overall program. Too often, compliance teams work hard and hope for the best. While hope is admirable, it's an inadequate strategy for ensuring concrete outcomes. To elevate above merely a collection of parts, compliance needs to operate as a cohesive system. In this context, operability is defined as the extent to which the compliance function is fit for purpose, capable of achieving compliance objectives, and able to realize the benefits of being compliant.   The minimum level of compliance operability is achieved when: All essential functions, behaviours, and interactions exist and perform at levels necessary to create the intended outcomes of compliance.   This defines what is known as Minimal Viable Compliance (MVC), which must be reached, sustained, and then advanced to realize better outcomes.   For this to occur, we need a comprehensive approach. We need:   ➡️ Governance to set the direction ➡️ Programs to steer the efforts ➡️ Systems to keep operations between the lines ➡️ Processes to help stay ahead of risks   All of these elements must work together as an integrated whole.   To use an analogy, an effective compliance system may not need to be as complex as a car, but it should be at least as functional as a bicycle. The key point is that it must be more than just a box of disconnected car or bicycle parts.   This holistic perspective on compliance operability allows organizations to:   ➡️ Identify gaps with their current compliance ➡️ Prioritize areas for improvement ➡️ Ensure that all components of the compliance system are working in harmony ➡️ Continuously improve and adapt their compliance efforts   By conducting a Compliance Operability Assessment, organizations can move beyond a piecemeal approach to compliance and develop a robust, systemic strategy that is more likely to achieve desired outcomes and create lasting value.   You can read more about this assessment and how Total Value Chain and Compliance Criticality Analysis are used to determine overall compliance operability maturity in our latest article. This post is an 8 minute read and one you may need to refer to often: https://lnkd.in/gXMFwaHr

#ComplianceTesting is a process of auditing for adherence to a policy, a rule, or a regulation. It is often the first type of test performed when assessing the control environment¹. The importance of compliance testing lies in its ability to identify violations of requirements and remediating the root cause in a timely manner, which is crucial to mitigating the compliance risk an organization is facing¹. Here are some core principles and best practices for compliance testing: - Compliance testing should be performed regularly: Regular testing ensures that the organization's Compliance Management System (CMS) is functioning as intended¹. - Compliance testing should be performed against regulatory requirements: Testing must be performed against the regulatory requirements that impact the organization in order for a CMS to be effective¹. - Compliance testing should be performed in a structured manner: Performing compliance testing in a structured manner can help ensure that all necessary areas are covered and that testing is performed consistently¹. - Compliance testing should be performed by qualified personnel: Qualified personnel should perform compliance testing to ensure that testing is performed accurately and effectively¹. For further digest, see: (1) What Is Compliance Testing? The Effective Program Guide You Need. https://lnkd.in/daQ5t6Ku. (2) What is compliance testing, and why is it necessary in organizations .... https://lnkd.in/dv5heqzP.

In today’s fast-paced business environment, compliance is more crucial than ever. As organizations face increasing regulatory demands, the role of the compliance manager has evolved beyond traditional responsibilities into a vital position that drives operational efficiency and strategic growth. Why Compliance Managers Matter Compliance managers are not just gatekeepers; they are strategic partners who ensure that organizations navigate the complex landscape of regulations seamlessly. By developing and implementing compliance programs, these professionals help mitigate risks and protect the organization’s reputation. Their work is essential in building trust with clients, stakeholders, and regulators alike. Key Responsibilities of a Compliance Manager 1. Regulatory Knowledge: Compliance managers must stay informed about industry regulations and standards. This expertise enables them to guide the organization in meeting compliance requirements effectively. 2. Policy Development: They play a critical role in creating and maintaining policies that align with regulatory frameworks, ensuring that everyone in the organization understands their responsibilities. 3. Training and Awareness: Educating staff about compliance policies and procedures is essential. Compliance managers facilitate training sessions to instill a culture of compliance throughout the organization. 4. Monitoring and Reporting: Ongoing monitoring and reporting are vital for identifying compliance gaps. Compliance managers use data analytics to assess risks and implement corrective actions when necessary. 5. Collaboration Across Departments: Effective compliance requires collaboration. Compliance managers work closely with various departments, from IT to HR, to ensure a unified approach to compliance. The Future of Compliance Management As the regulatory landscape continues to evolve, compliance managers will need to leverage technology to streamline processes and enhance visibility. Tools like Secureframe’s compliance management platform empower these professionals to automate tasks, gather insights, and respond swiftly to compliance challenges. In conclusion, the role of compliance managers is indispensable in today’s organizations. By embracing their responsibilities and utilizing the right technology, they not only safeguard their organizations but also contribute to overall business success. At Secureframe, we are dedicated to supporting compliance managers in their mission to foster a compliant and thriving business environment. Let’s connect and explore how we can work together to enhance your compliance efforts! Read full blog here: https://lnkd.in/gS2KfDfe #Compliance #RiskManagement #BusinessGrowth #Secureframe

Compliance management refers to the processes and procedures implemented by organizations to ensure adherence to applicable laws, regulations, and industry standards. Here are some best practices for effective compliance management: 1. Establish a Compliance Program: Develop a formal compliance program that outlines the organization's commitment to compliance. Clearly define the roles and responsibilities of personnel involved in compliance management. 2. Understand Applicable Laws and Regulations: Stay up to date with relevant laws, regulations, and industry standards that apply to your organization's operations. This includes local, national, and international regulations. 3. Conduct Regular Risk Assessments: Identify potential compliance risks within your organization by conducting comprehensive risk assessments. This helps prioritize compliance efforts and allocate resources effectively. 4. Develop Written Policies and Procedures: Create written policies and procedures that clearly outline the compliance requirements and expectations for employees. Make sure these documents are easily accessible and regularly updated. 5. Provide Training and Awareness: Conduct regular training sessions to educate employees about compliance requirements, policies, and procedures. Foster a culture of compliance awareness throughout the organization. 6. Implement Effective Communication Channels: Establish effective channels for employees to report compliance issues, questions, or concerns confidentially. Encourage open communication and provide protection against retaliation for reporting. 7. Monitor and Audit Compliance: Regularly monitor and audit compliance activities to identify any potential gaps or weaknesses. This includes conducting internal audits, assessments, and reviews. 8. Enforce Disciplinary Measures: Clearly communicate the consequences of non-compliance and enforce disciplinary measures consistently. This helps deter non-compliant behavior and demonstrates the organization's commitment to compliance. 9. Maintain Documentation and Records: Keep comprehensive and accurate records of compliance activities, including policies, procedures, training records, investigations, and audits. These records can provide evidence of compliance efforts if needed. 10. Stay Updated on Industry Best Practices: Continuously stay informed about evolving compliance best practices and industry standards. Participate in industry networks, conferences, and forums to share knowledge and learn from peers. Remember, compliance management is an ongoing process that requires continuous improvement and adaptation to changing regulatory landscapes. By implementing these best practices, organizations can mitigate compliance risks and promote an ethical and compliant environment.

Compliance Management System: What It Is and Why You Need It A Compliance Management System is a framework that helps organizations ensure adherence to legal requirements, industry standards, and internal policies. It is a structured approach designed to identify, assess, monitor, and mitigate compliance risks across all levels of an organization. A Compliance Management System consists of several elements, such as compliance culture, compliance objectives, compliance risks, compliance program, compliance organization, compliance communication, and compliance monitoring and improvement. A Compliance Management System can help organizations avoid violations, evaluate security risks, protect against data breaches, and foster a culture of compliance. Check out for more about Compliance Management Systems. http://surl.li/rbjim - Overview of the importance, responsibilities, and components of a Compliance Management System, based on the Auditing Standard 980 from the IdW. http://surl.li/rbjlw - Useful guide to understanding regulations that affect American businesses, expert input on maintaining compliance while reaching business goals, and free compliance templates. http://surl.li/rbjnq - Intricacies of a Compliance Framework, helping you navigate the ever-evolving landscape of rules and regulations, and learn how to implement a robust Compliance Framework for your organization.

Maximizing Compliance with MSP: A Comprehensive Management Framework In today’s digital age, ensuring compliance with legal and regulatory requirements is crucial for businesses. The MSP Compliance Management Framework plays a vital role in this aspect. From policy development to incident response, this framework offers a structured approach to managing compliance. This article will delve into the components of the MSP Compliance Management Framework, effective implementation strategies, and the benefits it offers to organizations. Join us as we explore the significance of MSP compliance management. What is MSP Compliance Management Framework? The MSP Compliance Management Framework is a structured approach that organizations implement to ensure adherence to regulatory requirements […] https://lnkd.in/etZg9mWk #serviceproviders #soc #mssp #vars #datto #dattocon #connectwise #connectwiseautomate #Labtech #RMM #RMMsecuritytool #RMMtool #security #msp #mspartners #mspartner #mspsales #mspmarketing #msp500 #managedhosting #managedcloud #managedsecurity #msp501 #msps #managedservices #manageditsolutions #manageditservices #manageditsupport #managedit #managedserviceprovider #managedservicesprovider #managedservice #managedserviceproviders #manageditservice