Enterprise Risk Management Best Practices: From Assessment to Ongoing Compliance
- 2h 35m
- Anne M. Marchetti
- John Wiley & Sons (US)
- 2012
High-level guidance for implementing enterprise risk management in any organization
A Practical Guide to Risk Management shows organizations how to implement an effective ERM solution, starting with senior management and risk and compliance professionals working together to categorize and assess risks throughout the enterprise. Detailed guidance is provided on the key risk categories, including financial, operational, reputational, and strategic areas, along with practical tips on how to handle risks that overlap across categories.
- Provides high-level guidance on how to implement enterprise risk management across any organization
- Includes discussion of the latest trends and best practices
- Features the role of IT in ERM and the tools that are available in both assessment and on-going compliance
- Discusses the key challenges that need to be overcome for a successful ERM initiative
Walking readers through the creation of ERM architecture and setting up on-going monitoring and assessment processes, this is an essential book for every CFO, controller and IT manager.
About the Author
Anne M. Marchetti has twenty-five years of finance and accounting experience in both private industry and public accounting. She is a Sarbanes-Oxley subject matter expert focused on the design, implementation, analysis, and optimization of internal control systems and corporate governance programs. Ms. Marchetti has worked globally with both public and private entities in most industries as well as organizations of all sizes. She regularly interacts with Big Four, middle market, and local external audit firms as a liaison on behalf of these organizations. She is a member of the AICPA faculty and is the author of Beyond Sarbanes-Oxley Compliance: Effective Enterprise Risk Management and Sarbanes-Oxley Ongoing Compliance Guide, both published by Wiley.
In this Book
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Overview of Enterprise Risk Management
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Corporate Governance and Roles and Responsibilities
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ERM Defined
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The ERM Process—Step by Step
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COSO Framework and Financial Controls
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Excerpt from a Code of Ethics Policy
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Whistleblower Program
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Approval Policy and Procedures
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Financial Controls and Risk Assessment
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Entity-Level Control Assessment
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Accounts Payable—Preliminary Controls Assessment Questionnaire
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Fraud Risk Factors—AU Section 316
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Ongoing Compliance Overview
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Ongoing Compliance Challenges
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Addressing Compliance and Risk Management Challenges Through Automation
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Ongoing Compliance and IFRS
