Compliance & Ethics Program Assessments and Recommendations

Spark Compliance Consulting helps you energize and optimize your existing compliance & ethics program in order to properly mitigate risk, withstand regulatory scrutiny, and foster an ethical culture that drives business success. 

Services Include:

Compliance & Ethics Program Report Card

Find out if your program makes the grade based on best practices and regulatory expectations.  This assessment includes practical and proportionate remediation and optimization recommendations.  It focuses specifically on input from the compliance department, including a review of all policies and procedures and interviews.   

Comprehensive Compliance & Ethics Program Assessment

Spark Compliance Consulting’s Comprehensive Program Assessment gives a clear picture of where your compliance program is excelling, and where it has opportunity for improvement.  Practical, pro-business recommendations are provided so that you can optimize and right-size your compliance program to meet best practices and regulator expectations, while still working with the business in a pragmatic way.

Comprehensive Compliance and Ethics Program Assessment: CCEPA Methodology

Our Comprehensive Program Assessment utilizes Spark’s proprietary CCEPA Methodology to test the program using multiple inputs in order to obtain a 360° view from inside the department and out.  CCEPA Methodology uses seven specific inputs to evaluate the program.  We take  a comprehensive view of the compliance and ethics program in order to properly assess the efficacy of the program.  We look at documents and intentions, as well as execution in order to ensure that the program is operating as effectively as possible. 

A Spark Compliance Consulting CCEPA-based report provides more than just an overview of the compliance program against the seven elements of the Federal Sentencing Guidelines.  It takes the information provided by the inputs and evaluates it to provide:

  • Commendation

Celebration of the strength of the program and recognition for the areas in which the program excels.

  • Opportunities for Improvement

Because no compliance program is ever perfect, we provide a complete list of opportunities for improvement of the program based on regulatory guidelines, best practices, case studies and comparisons to other programs.

  • Recommendations

No program assessment would be complete without a carefully crafted list of recommendations to make the compliance program even stronger in the future.  We ground our recommendations in practices which can be implemented in a pro-business and pragmatic way, so that compliance can partner with the business, instead of working against it.

Spark Compliance made a real difference and come highly recommended! Not the typical generic consultant speak, but pragmatic and targeted advice and most of all a joy to work with!
— Deputy Compliance Director, Royal Mail