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Corporate Risk and Compliance: Theory and Practice
Section 7 . 1

Objectives and Discussion Questions

Kim Otte

Monitoring and auditing is typically the last element that a program grows and matures. Yet, it is arguably the most valuable because it moves the program from reactive to detective if not preventive. It is the element where technology and AI has the most promise to reduce defects and manage risk.

Discusssion Questions:

1. You are a CCO (Chief Compliance Officer). How would you describe the difference between monitoring and auditing to your CEO?

2. What's an example of AI being used in compliance-related monitoring today?

3. Pretend you are the Privacy Officer and answer the question in the hypo at the end of the chapter.

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