by Michael Silverman (Author)

In today's business climate, accountability, transparency, and a high regard for laws, regulations, and ethical conduct is as much a part of how an organization manages its affairs as its primary mission and operations. Compliance Management for Public, Private, or Nonprofit Organizations is a complete, hands-on guide to implementing strategies and techniques for developing, managing, and improving the compliance function of any organization.

Author Michael G. Silverman is a corporate expert in strategic planning, program management, compliance, risk assessment, and policy development. In Compliance Management for Public, Private, or Nonprofit Organizations, he presents a comprehensive treatment of the subject by examining the traditional compliance issues associated with laws and regulations, as well as matters surrounding ethical behavior, organizational structure, technology, administration, and risk management.

From establishing compliance goals and managing education and training programs to operating a whistle-blowing program and addressing staffing and budgeting requirements, this practical resource covers everything compliance officers and risk and organizational managers need to know, including:

• Where and how to establish a compliance program within an organization
• The critical skills and expertise for maintaining an effective compliance program
• Pros and cons of making a compliance program a part-time function of an organization
• How to deliver bad news to senior management--and survive

Compliance Management for Public, Private, or Nonprofit Organizations includes a wealth of examples that illustrate the real-world applications of critical strategies and techniques for using the board of directors and senior management to promote compliance, reduce employee and management barriers to compliance, conduct in-depth risk assessment and compliance audits, and more.

Back Jacket

Understand and mitigate compliance risk in any organization

Compliance Management for Public, Private, and Nonprofit Companies is an expert guide that delivers the strategies and techniques needed to establish, manage, and improve the compliance function within any organization.

Written by FINRA faculty member Michael Silverman, this hands-on resource offers valuable advice for identifying compliance risk and addressing complex ethical issues. It also provides best practices for using the board of directors, trustees, and senior management to promote compliance. From an operational standpoint, it covers such critical topics as:

• Establishing a compliance plan and program
• Implementing compliance-related technology
• Spearheading compliance education and training programs
• Developing effective compliance policies
• Operating a whistle-blowing program
• Managing internal control and assessment techniques
• Securing the appropriate staffing and budgeting requirements
• Assessing compliance effectiveness

A wealth of case studies taken from both the author's personal experience as well as the mainstream media brings to life the application of covered techniques in the real world.

Author Biography

Michael G. Silverman heads a consulting practice that helps organizations manage risk and compliance, corporate ethics, and corporate governance. He is also on the faculties of Columbia University's School of International and Public Affairs and at the Financial Industry Regulatory Authority, the largest non-governmental regulator for all securities firms doing business in the United States.

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