Foundational Organizational Compliance Templates & Company Compliance Culture HR Guidelines
Framework for Board and Leadership Structure
Purpose: This template is designed to help corporations of any size document their organizational structure for governance, compliance, risk management, and regulatory oversight purposes from Parent company down to subsidiaries identifying key stakeholders.
How to Use: This document is read-only on the member site. Download it to your device to complete and customize. All fields are intended to be filled in based on your organization’s current structure. This gives you the prompts needed to have a company-wide compliance board and leadership structure org-chart for each operating entity.
Framework for Compliance Roles, Responsibilities and Escalations
Purpose: This template establishes clear accountability by role, defines escalation triggers, and embeds a compliance culture where every employee is a risk manager. This framework supports regulatory expectations for supervision, internal controls, and issue management.
How to Use: This document is read-only on the member site. Download it to your device to complete and customize. All fields are intended to be filled in based on your organization’s current structure. This gives you the prompts needed to have a company-wide compliance culture that identifies critical roles, responsibilities and escalations. This is the prep work to customize the Company Compliance Culture Template.
Company Compliance Culture Guidelines Template
Purpose: Fill in from your completed “Framework for Compliance Roles, Responsibilities and Escalations.” Steps 1 & 2 Once completed, this finished template can be included in your HR Employee Handbook to establish the company-wide importance and buy-in for a proactive compliance and risk management culture.
How to Use: If you followed and filled out the prompts in Steps 1 & 2, you should have a completed Company Compliance Guidelines that you can have all shareholders of the company sign and include in HR Handbook. You will also have a nice Start for developing a corporate governance framework from all the extra documentation that was collected during the process.