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Corporate Governance

Lyndon Group’s corporate governance practice provides our clients the resources needed to meet their goals of enhancing entity level controls or the “tone at the top”. Organizations are motivated to implement and/or improve their ethics and compliance programs for various reasons – from the Federal Sentencing Guidelines to stakeholder pressure. Whatever the reason, Lyndon Group’s team of experienced governance professionals tailor programs that address client’s compliance risks and business needs. Whether clients are implementing a new program, initiating key elements, or measuring performance of existing processes, Lyndon Group can assist in an effective and efficient manner. We assess client’s processes to ensure they are operating within the various levels of applicable laws and regulations. Lyndon Group also measures the effectiveness of an organization’s monitoring programs to evaluate a client’s adherence to other commitments such as Code of Ethics/Conduct, internal policies, and contractual obligations.

Lyndon Group designs and implements repeatable processes and procedures to ensure that management is made aware when the organization is getting close to, or crossing, a “boundary.” All of this enhances the corporate culture by reducing errors and losses and optimizing return on investment.

We also provide clients with a one time and/or periodic evaluation of an organization’s governance, risk and compliance (GRC) capabilities. We share OCEG’s view that periodic evaluations are an essential element and a key control that benefits stakeholders, the board and others with organizational oversight responsibilities.

As part of an evaluation, or as separate projects, we also provide resources in these areas:

Public Listing Standards

Ethics and Compliance Risk Assessments

Identifying the likelihood and impact of ethics and compliance risks, serving as a guide for resource allocation and ensuring that appropriate responses and controls are established.

Code of Ethics/Conduct Development & Assessment

We lead and/or direct a collaborative effort to create a document that fits the organization’s needs and culture, implemented with senior management’s backing, and used to inspire the “right” behaviors and attitudes.

Whistleblower Policy / Program Development & Assessment

A valuable tool to help prevent and detect fraud, criminal conduct, policy violations, and/or questionable conduct, and as a means for employees and other stakeholders to communicate other issues/concerns with the organization.

Pre-Employment Screening Programs

Implementing and documenting programs focused on helping organizations to select and promote employees and leaders who have a reputation for integrity and competence.

Performance Measurement

Gauging your progress in achieving objectives and learning whether the tactics employed are contributing to the success of the business.

DPerception Surveys

Surveying employees, management and stakeholders periodically to help the organization understand and enhance the corporate climate to assist in creating a culture that fosters open discussion of ethical concerns and integrates the application of ethical principles in the decision-making process.

Policies and Procedures

We evaluate the methodology for policy and procedure development, implementation and management of organizational polices and procedures, including assessing whether policies are designed and operating as intended.

Conflicts of Interest (COI)

We will assess an organization’s conflict of interest culture to ensure interrelationships with vendors, customers, service providers and others are properly disclosed and managed. This includes reviewing existing COI-related policies and procedures, disclosures, waivers, charitable donations, volunteer programs as well as benchmarking.

Internal Audit Co-Sourcing, Outsourcing & Project Solutions

LG’s internal control outsourcing services can help you establish an internal audit function from scratch or transform an existing, compliance-only audit program into a proactive, value-added audit function. Whether as a co-source provider or an entire outsource solution, our internal control outsourcing services can help you in the following areas:

Audit plan development

Operational audits of business entities and processes

Financial reporting process audits

Quality assurance reviews of existing audit programs

Assessment of risk management processes

Internal controls review

Forensic audit

As companies comply with the reporting requirements of Sections 302 and 404 of the Sarbanes-Oxley Act, internal control is becoming a vital function in these initiatives. This reliance includes both short-term issues during the implementation phase, as well as longer-term reliance on the role and responsibilities of internal control in the process.

A company should consider outsourcing its internal control functions when:

The internal audit function can’t keep up with the changing risks facing the business.

It’s difficult to recruit and retain internal audit professionals in all of the key skill areas.

It needs to supplement the in-house internal audit function with specialist skills.

The internal audit function has insufficient resources to cover the geographic scope of the organization.

The organization considers internal audit to be a non-core activity so it needs to find an external provider.

The organization needs to assess the effectiveness of risk management, internal audit, and its corporate governance procedures.

How LG can help:

We can assist organizations that need help improving the quality and effectiveness of their internal control processes in several ways:

LG can advise and develop the internal audit and risk management methodologies, including assessing whether the internal audit function is delivering effectively to stakeholders.

LG can provide internal audit resource solutions, including full outsourcing or complementing in-house functions with specialist skills or geographical coverage.

LG can develop training for internal auditors using our extensive industry knowledge.

Quality Assessment

Audit Command Language (ACL) Services:

Lyndon Group can be a great resource with audits that involve ACL analysis. ACL is one of the most widely used data extraction and analysis products available for fraud detection and prevention in the audit profession.

Lyndon group can provide a data analysis expert with extensive experience in logical analysis and problem solving to help clients with ACL projects including:

Fraud Detection

Data Mining

Continuous Monitoring

General Audits (Accounts Payable, Purchasing, Benefits, Contracts etc.)

One-on-One Training

Scriptwriting

Also keep in mind that a lot of the continuous monitoring that Sarbanes-Oxley requires can be accomplished by using ACL. Most of these projects can be done locally and/or remotely.