For more than four years, this management and information technology consulting firm has engaged Guidepost to perform compliance program assessments and enhancements. To illustrate, our team has performed risk assessments around new products and offerings, international trade compliance, money laundering and terrorist financing, and the firm’s process relating to internal investigations. As part of these assessments, we outlined actionable recommendations for the company to address any identified compliance gaps.

In another multi-year effort, we worked on the firm’s ethics and compliance programs— including those focused on anti-corruption/anti-bribery, government contracts, and data privacy compliance— to design and deploy a comprehensive compliance monitoring program that would identify, report, and remediate gaps in compliance-related controls.

The Guidepost team also assisted with updating and streamlining the firm’s record retention schedule and policy. This effort involved numerous stakeholder interviews and extensive fact-finding exercises to identify relevant information and records, as well as engaging with outside counsel on U.S. state and federal legal requirements.