Regulatory Audit

JURCOM performs a rigorous audit of your compliance program to determine its strengths and weaknesses. Our audit helps ensure that your compliance program is properly designed and operating eectively.

JURCOM’s extensive knowledge of regulatory compliance helps us easily detect any gaps or deficiencies in your business and operations. We’ll identify any problem areas that could place you at risk for hefty fines and violations.

If you work with outsourced vendors, our compliance audit helps prevent potential liabilities by ensuring that their activities are aligned with your compliance program.

Each compliance audit includes four major steps:

1. Define the audit objectives and deliverables.

2. Evaluate all aspects of your business and operations as they relate to relevant regulatory compliance legislation.

• Review your current compliance documentation and audit trails.

• Examine your procedures and policies.

• Study your data collection, data distribution and data archiving methods. 

• Determine if exemptions are properly applied.

3. Deliver a detailed report along with recommendations for any corrective actions

4. Provide operational guidelines for ongoing regulatory compliance.

The results of our thorough compliance audit help you:

• Understand how your compliance operation compares to the industry best practices models.

• Minimize exposure to liability.

• Improve eciencies in your compliance operation.

• Ensure ongoing compliance.