A compliance auditor shall verify compliance with legal requirements or other guidelines in a private company or public body during a period of Compliance reviews.
The Chief Information Officer (CIO) is responsible for the information technology (IT) and computer systems strategies. An IT strategy is required to support the company's compliance goals.
Companies are obliged to: Federal Data Protection Act If we do not, sanctions will be in danger.
Rechtsanwalt Dipl.-Ing. Michael Horak, LL.M.
With IT compliance Finally, a company meets the requirements of the company's IT systems.
CIOs angry with compliance auditor
If an auditor checks the hard-earned strategies of a CIO, it can happen that the auditors take apart the hard-earned strategy. If the auditors question the IT initiatives and their impact on the compliance management system, CIOs can be annoyed.
As a result, it is often difficult for CIOs to remain in a defensive position during the test.
Solution
Both the CIOs and the auditors should pull together with the aim of ensuring compliance. Therefore, CIOs should not see compliance auditors as opponents.
Stay on an equal footing with the compliance auditor
However, CIOs should communicate with the auditors on an equal footing with the aim of discussing perspectives.
The CIOs should use this review as an opportunity to think about how to improve the IT environment.
Rechtsanwalt Dipl.-Ing. Michael Horak, LL.M.
Securing compliance strategy
In order to safeguard the compliance strategy, it is necessary to ensure that:
- that there are no errors;
- that the environment is best designed; and
- the processes remain transparent.
Compliance auditor to avoid defensive attitude
It is also important for the auditors not to take defensive stance when they feel attacked. If all parties involved remain fair, the chance of a good agreement will grow.
Aspire to cooperation between CIOs and auditors
The supervisory authorities often use the internal audit report. CIOs should work with the auditors and not hide, but face up to the processes. In this way, they enable forward-looking, targeted action before the supervisory authorities examine.
Use a first IT compliance consultation.
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Deadly Sin 1: View Compliance Auditor as Opponent
A compliance auditor checks compliance with legal requirements or other guidelines in a private company or public institution during a compliance audit. The Chief Information Officer (CIO) is responsible for the information technology (IT) and computer systems strategies. An IT strategy is required to support the company's compliance goals. Companies are committed to the...
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7 Deadly Sins of IT Compliance
Although legal departments and risk management are mostly responsible for compliance, the IT department is also involved in compliance matters to ensure security. Thus, IT compliance is an important component of the compliance matter. The plethora of regulations regulating IT systems and data is growing. Lawyer Dipl.-Ing. Michael Horak, LL.M. Responsibilities of the Chief Information Officer regulations, data,...
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Death Sin 2: Excluding Exceptions
Bypassing the compliance rules can be risky. Sometimes, however, it is necessary to make exceptions and disregard the rules. In order to avoid any risk, you should therefore take precautions. We also advise you on compliance risks. Exceptions take into account exceptions in the compliance process, can be a very wise strategy. And that's...
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Death Sin 3: Preparing a Bad Working Group
Knowledge, skills, experience – too little of it in a working group brings problems. A Chief Information Officer (CIO) should necessarily create a highly qualified Compliance Working Group. Insufficiently prepared teams can even be risky. The CIO is responsible for the strategies in the fields of information technology (IT) and computer systems with the aim of achieving the objectives of the...
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Death Sin 4: Governance Structure Missed
Although companies control basic processes and controls, our experience often lacks governance structure. A good governance structure is designed to ensure risk coverage as well as the adaptation of their processes and controls to regulatory requirements. We are happy to advise you in IT compliance. Effects of a lack of governance structure Impacts of a structurally-free compliance governance can be the following: The corporate architecture becomes sluggish. Reactions to...
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Deadly Sin 5: There Is No Understanding of Regulation
In IT-related issues such as data protection, confusion may arise in the absence of a regulatory understanding within the company. This is due to our experience that understanding a company for a legal point of view often does not coincide with the intention of a regulation. Understanding The result is that companies don't know what regulators want from them. Companies should...
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Deadly Sin 6: Compliance dictates IT Security
Managers in the field of IT security depend on them to be always up-to-date with the legal requirements for compliance. However, you must not lose sight of a stable safety program. A good data flow, a thriving company that remains competitive – that succeeds with the right attitude. Lawyer Dipl.-Ing. Michael Horak, LL.M. Security program...
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Death sin 7: rejecting key technologies
The market offers a wealth of technologies for compliance requirements. Legal and compliance departments are responsible for the procurement of these technologies. IT managers can, however, participate in the selection and use of optimal solutions. Use a first IT compliance consultation. Essential Technology Areas The essential three technology areas in which compliance managers should invest are: 1. Basic Systems of Record...