This 2013 Compliance and Ethics Benchmarking Survey report consolidates the results of an informational benchmarking survey of compliance and ethics professionals conducted by SAI Global and Baker & McKenzie in late 2012 and early 2013, as they finalized their plans for 2013. With topics that cover compliance program resources, budget and management considerations, and sections reviewing such program components as policy management, hotline and case management, third-party risk management, risk assessments, and training, this report presents a comprehensive measurement of what is guiding program decisions and priority rankings globally.
SAI Global and Baker & McKenzie asked Compliance and Ethics industry professionals to participate in the compliance and ethics benchmarking survey, which included questions related to:
- The participants, their departments, and their organizations,
- How participants measure the effectiveness of their programs,
- The participants’ use of Compliance and Ethics resources,
- The participants’ interaction with the Board and other senior management at theirorganization,
- The work of the participants’ Compliance and Ethics departments, and
- The evolving nature of the participants’ compliance, ethics, and risk functions.