Compliance Risk Assessments: Building Blocks for Your Annual Plan
From PYA Webinar Recast by PYA, P.C.
November 11, 2025 · 1h 0m · Episode 103
About this episode
This episode discusses the importance of compliance risk assessments and their integration into an annual compliance plan.
A strong compliance program begins with a clear understanding of organizational risks. This webinar guides you through the purpose, process, and practical application of conducting a compliance risk assessment—and how to transform the findings into a robust annual framework. During this webinar, PYA Principals Shannon Sumner and Rhonda Buckholtz explained the importance of effective risk assessments and how to incorporate them into your annual plan. Shannon and Rhonda addressed the following objectives: Defining the role of risk assessments. Identifying common risk areas. Applying a structured methodology. Demonstrating documentation practices for key stakeholders. Incorporating ongoing monitoring and feedback loops to update risk assessments. RELATED LINKS: U.S. Department of Justice Criminal Division Evaluation of Corporate Compliance Programs OIG General Compliance Program Guidance COSO ERM Framework *This recording was updated on February 11, 2026 to fix an audio issue. The edit is technical only and does not impact the content of the webinar.
People in this episode
Hosts: Shannon Sumner, Rhonda Buckholtz
Topics covered
- compliance risk assessments
- organizational risks
- annual compliance plan
- risk assessment methodology
- documentation practices
- ongoing monitoring
Keywords
- compliance program
- risk assessment
- organizational risks
- annual plan
- risk areas
- methodology
- documentation
- monitoring
- feedback loops
Mentioned in this episode
Organizations: U.S. Department of Justice, OIG, COSO
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