Tools

The following tools were published on KnowledgeLeader this week:

Human Resources Review Audit Work Program

Unlock new potential in your organization’s HR function with the Human Resources Review Audit Work Program. This resource is designed to help you systematically assess and refine HR policies, procedures and internal controls, supporting both regulatory compliance and strategic alignment. With its practical approach, this program enables organizations to recognize areas for growth, minimize risks and build a stronger foundation for talent management. Whether you’re looking to strengthen your HR processes or ensure best practices, this tool offers valuable guidance for effective audit execution.

System Pre-Implementation Audit Work Program

Embarking on a new system implementation can be a daunting journey, but this System Pre-Implementation Audit Work Program is designed to transform uncertainty into confidence. This tool empowers organizations to identify risks, enhance efficiency and ensure compliance before deploying their systems. By evaluating project management strategies, testing protocols, security controls and disaster recovery plans, this resource provides a structured approach to safeguarding system integrity and aligning development efforts with organizational needs. The ultimate goal is to mitigate risks, improve quality and ensure a seamless rollout that satisfies both operational requirements and user expectations.

Senior Vice President of Internal Audit Job Description

This sample job description outlines the responsibilities, key selection criteria and general information for the role of the senior vice president of internal audit. The senior vice president of internal audit is responsible for managing a multilocation internal audit function, overseeing the corporation’s internal control environment, liaising with lines of business and corporate management on risk assessment and audit issues, reporting the development and execution of internal audit plans and Sarbanes-Oxley audit plans to the audit committee, and managing the corporation’s quarterly financial statement subcertification process.

Vice President, Chief Compliance Officer (CCO) Job Description

This sample job description notes the responsibilities, key selection criteria and general information for the role of the chief compliance officer. Sample duties include: review the organization’s compliance policies and procedures to identify potential areas of risk of illegal or unethical conduct; develop, maintain and revise compliance policies designed to prevent illegal or unethical conduct in the identified risk areas; develop and periodically review and update the organization’s code of conduct to ensure continuing currency and relevance in guiding management and other employees; and supervise the day-to-day implementation and operation of the compliance and ethics program.

Section 404 and Section 302 Integration Questionnaire

In today’s fast-paced business world, compliance isn’t just about ticking boxes, it’s about building a resilient foundation that can withstand scrutiny and change. Our Section 404 and Section 302 Integration Questionnaire is resource for organizations seeking to move beyond the burdens of initial Sarbanes-Oxley compliance and toward a model of sustainability and efficiency. By weaving together, the ongoing demands of Sections 404 and 302, this tool empowers management to embed robust internal controls into everyday business routines, foster true accountability among process owners, and ensure that significant changes are recognized and addressed before they become risks. This questionnaire guides users through strategies for institutionalizing compliance, from securing buy-in and budgeting for long-term support, to strengthening anti-fraud programs and refining escalation processes for timely action.

Publications 

KnowledgeLeader has also published several publications this week.

How Internal Audit Enhances Member Retention in Credit Unions

Internal audit plays a transformative role in boosting member loyalty and retention for credit unions when approached strategically. By shifting focus from routine compliance checks to evaluating the member experience, audit teams can uncover the hidden factors that impact whether members stay or leave. These include service quality gaps, frustrating technology implementations, ineffective training programs, misaligned product offerings and communication breakdowns. By identifying and addressing these friction points, internal audit becomes a powerful tool for improving member satisfaction and ensuring long-term growth. Rather than simply checking boxes, this approach ensures credit unions consistently deliver on their promises and meet evolving member expectations.

Doing Business in California? New Climate Risk Reporting May Affect You January 1.

California is raising the bar for climate accountability, requiring thousands of companies to disclose both their greenhouse gas emissions and the financial risks tied to climate change. With new regulations taking effect in January 2026, now is the time for businesses to get ahead of the curve. Proactive compliance not only helps avoid legal and financial pitfalls but also demonstrates a commitment to sustainability that customers, investors and regulators increasingly expect.

Executive Perspectives on Top Risks for the Near- and Long-Term: Risks Survey CPG Retail Industry

Consumer packaged goods (CPG) and retail companies face a myriad of challenges as they prepare for 2025 and beyond. Key among these challenges are uncertainties in supply chains, the struggle to maintain customer loyalty, economic pressures, and labor shortages. The insights drawn from a thorough analysis of industry leaders reveal that addressing these risks is not just about survival; it’s about seizing opportunities for growth and innovation. With ongoing disruptions like tariffs and inflation impacting the marketplace, now is the time for businesses to adopt proactive strategies that foster resilience.

Recommended Resources 

This list of recommended resources from the web may be of interest to you. Click each link to learn more. 

1. From Agenda to Minutes: How OnBoard’s AI Suite Transforms the Boardroom
2. Lurking in the Shadows: The Costs of Unapproved AI Tools
3. The Great Flattening: An Opportunity to Elevate HR-Business Partnership