Compliance Management Procedures



These Compliance Management Procedures describe the methodology for the development, management, monitoring and review of a compliance program as part of an organisation’s internal processes. It includes the approach for identifying compliance obligations and compliance risks, assessing compliance risks and establishing a review, reporting and continuous improvement process.

These Compliance Management Procedures are suitable for organisations of all sizes and complies with the guidelines of the International Standard for Compliance Management Systems.


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The Performance Management Company




The purpose of developing these Compliance Management Procedures  is to establish the methodology for identifying compliance obligations and compliance risks within an organisation, and to describe the step-by-step approach for developing, managing, monitoring and reviewing the compliance management system established by an organisation.

These Procedures were developed following the guidelines of the International Standard for Compliance Management Systems and should be read in conjunction with the following documents:

  1. Compliance Organisational Structure
  2. Compliance Management Framework
  3. Compliance Management Policy

Last updated

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Integrated framework

This document forms part of the set of documents used for building an integrated governance, risk management and compliance framework for an organisation. We recommend that you read our Guide to Governance Risk Management and Compliance before using this document.

Complete kit

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Related documents

  1. Code of Conduct
  2. Compliance Organisational Structure
  3. Compliance Management Framework
  4. Compliance Management Policy
  5. Risk Management Procedures
  6. Risk Assessment Instructions Manual
  7. Breach Reporting Policy
  8. Breach Reporting Procedures
  9. Whistleblower Protection Policy
  10. Whistleblower Protection Procedures


  1. Description. 1
  2. Access. 1
  3. No of pages. 1
  4. Author 1
  5. Last updated. 1
  6. Integrated framework. 1
  7. Complete kit 1
  8. Related documents. 1
  9. Revision table. 2
  10. Document location. 3
  11. Purpose. 3
  12. Scope. 3
  13. Methodology. 3
  14. Plan. 3
    • Step 1: Identify compliance obligations. 3
    • Sources of compliance obligations. 3
    • Step 2: Assess compliance risks. 4
    • Prioritising compliance risks. 4
  15. Do. 4
    • Step 3: Manage compliance obligations. 4
    • Ownership and responsibility of compliance obligations. 5
  16. Check. 5
    • Step 4: Monitor and review.. 5
    • Monitoring by the [Compliance Officer] 5
  17. Act 5
    • Step 5: Reporting and improvements. 5
    • Reporting by the [Compliance Officer] 6
  18. Periodic review.. 6


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