ST0025DOJDOJ

ST0025

Seniority and Stature – How does the compliance function compare with other strategic functions in the company in terms of stature, compensation levels, rank/title, reporting line, resources, and access to key decision-makers? What has been the turnover rate for compliance and relevant control…

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Plain-language summary

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to be determined

Plain-language summary forthcoming. Source text below.

Source text

As written.

Seniority and Stature – How does the compliance function compare with other strategic functions in the company in terms of stature, compensation levels, rank/title, reporting line, resources, and access to key decision-makers? What has been the turnover rate for compliance and relevant control function personnel? What role has compliance played in the company’s strategic and operational decisions?

Assessed by HEXDI

What HEXDI assesses.

  • M1

    1 — MANAGEMENT COMMITMENT

    Senior Management allocates sufficient financial, information technology, employee, legal, and other resources, to include external…

  • M1

    3 — MANAGEMENT COMMITMENT

    Senior Management ensures that adequate compensation, bonuses, and other incentives are available to limit turnover of employees with key…

  • M1

    4 — MANAGEMENT COMMITMENT

    Senior Management ensures that there are adequate communication channels between Senior Management and employees with key compliance…

  • M2

    2 — PROGRAM SETUP AND ADMINISTRATION

    Employee responsible for coordinating the program has adequate resources, sufficient authority, and direct access to Senior Management or…

  • M2

    3 — PROGRAM SETUP AND ADMINISTRATION

    Employees with key compliance responsibilities have sufficient authority to perform their tasks.

  • M2

    4 — PROGRAM SETUP AND ADMINISTRATION

    Employees with key compliance responsibilities are located in a company unit that minimizes any potential conflicts of interest between the…

Related

Other DOJ standards.

Source & revisions

First mapped
Jun 8, 2022
Last updated
Aug 11, 2026 (3d ago)
Source
Evaluation of Corporate Compliance Programs