The Importance of Processes for Risk and Compliance

by Craig Willis

Are you looking for risk and compliance tools or software for your organisation? Keeping your processes healthy and efficient will greatly improve your governance and risk management.

In this article, we’ll explore exactly why your processes are key to successful risk and compliance management. Plus we’ll review what type of tools and software will help you with your risk and compliance management.

What is risk and compliance & how to manage it

Risk and compliance management are critical aspects of any organisation, regardless of size or industry – but they are two slightly different things. Risk is the chance that something bad will happen, affecting an organisation’s goals. Compliance means following laws, rules and standards that relate to how the organisation operates.

Managing risk involves identifying potential risks and developing strategies to mitigate them. This can involve conducting risk assessments, implementing risk controls and monitoring and reviewing risk regularly. Effective risk management can help organisations avoid financial losses, reputational damage and legal issues.

Compliance management is equally important, as non-compliance can result in hefty fines, legal penalties and reputational damage. Organisations must make sure they follow their legal and regulatory obligations. They should also meet relevant industry standards and codes of practice. The specific examples mentioned in the introduction are important to consider. You’re focusing on identifying and assessing compliance risks, establishing compliance policies and procedures and ensuring that employees are aware of and adhere to these policies.

Effective risk and compliance management requires a proactive approach that is integrated into an organisation’s overall business process. It involves ongoing monitoring and review, as well as continuous improvement to ensure that the organisation remains resilient and compliant in the face of changing risks and regulations – especially because they change often.

Historically, companies that are paying attention to and prioritising risk and compliance management are better positioned to protect their business, reputation and stakeholders’ interests.

How process management software helps with risk and compliance

Process management software is a game-changer for organisations managing their risks and complying with regulatory requirements. This type of software is designed to streamline and automate processes, enabling businesses to effectively manage their operational workflows and reduce errors that can result in non-compliance.

One of the ways that process management software helps with risk management is by providing real-time visibility into workflows by access to dashboards and process data. With this type of software, teams can effectively monitor numerical metrics such as key performance indicators (KPIs) and track progress toward goals and objectives. By tracking this data, businesses can find potential risks. They can then take steps to reduce these risks and lower the chance of non-compliance.

Moreover, process management software provides businesses with powerful tools to help them stay compliant with regulations. These tools include powerful audit trails that can be used to track changes to workflows and processes, ensuring that all modifications are authorised and properly documented.

In Liberty Spark, you can use custom process properties to help you with audits. When an Auditor comes, processes on Spark can demonstrate a higher level of clarity by capturing how these relationships work. Automated notifications and alerts will help team members stay on top of compliance requirements, ensuring that deadlines or check-ins are conducted in a timely manner.

Additionally, process management software can help businesses adhere to industry standards and best practices. By automating routine and repetitive tasks, teams can dedicate more resources to critical tasks requiring human attention. This helps to ensure that workflows are optimised, effective and efficient, preventing unnecessary delays and errors that can result in non-compliance.

Spark is a great tool to work with your risk and compliance team when it comes to process reviews. It lets users record risk issues or compliance during a workshop.

It has compliance points where you can upload extra documents for this purpose. This makes it easier for the Compliance Team to manage. They can see how suggested changes affect risk and controls.

One of the many perks of software created specifically for process mapping and management!

Another perk when it comes to managing risk and Spark?

They already inherently focus on the continuous improvement of the system. If risks and controls are linked to processes then Spark can clearly demonstrate where. The information is captured in the process map itself, connecting risk, compliance, role and systems all together, ensuring a smoother, more streamlined approach. With features such as Quantify and Process Reviews, Spark helps ensure that you are constantly making sure you follow the risk and compliance guidelines as needed and check in for updates or changes.

How Wellcombe Group used Liberty Spark to transform risk and compliance

For fast-growing organisations like Wellcombe Group, managing risk and compliance can quickly become a complex challenge. With multiple brands under its umbrella – including William Alexander and Stellarmann Professional Services – the group faced mounting pressure to prepare for ISO audits while maintaining operational efficiency. Their documentation was scattered across formats, from Word files to hand-drawn diagrams, making audit preparation stressful and inefficient 1.

Enter Liberty Spark, Netcall’s process mapping and improvement solution. What began as a opportunity to consolidate documentation quickly evolved into a strategic tool for risk mitigation, compliance assurance and operational transformation.

One of the first wins for Wellcombe Group was streamlining their ISO 9001 audit preparation. By converting disparate documents into interactive, linked process maps, they created a centralised system that was not only audit-ready but also practical for daily use. This eliminated last-minute scrambles and reduced the time needed to update processes from days to minutes.

But the benefits went far beyond documentation. Liberty Spark enabled the team to visualise actual workflows, identify inefficiencies, and then design ideal processes that were realistic and achievable. This shift from reactive compliance to proactive process improvement was a turning point. It allowed Wellcombe Group to automate routine tasks – like candidate communications and interview reminders – freeing up staff to focus on high-value interactions.

The platform also had a profound impact on team confidence and accountability. Junior staff could now handle complex tasks independently, thanks to embedded guidance in each process map. Managers felt empowered to delegate, knowing that clear instructions were always available. As Operations Administrator Elle Cummings noted, “Liberty Spark is so easy to use – team members get excited when I show them how simple it is to build processes”

Mistakes became learning opportunities. Whenever a process was bypassed or misunderstood, the team would ask, “Did you use the process map?” This created a culture of accountability and continuous improvement. Each deviation led to refinements, making the maps more user-friendly and effective over time

Liberty Spark also supported strategic decision-making. With visual evidence of workflows, Wellcombe Group could better align technology investments with operational needs. This was especially valuable in building business cases and justifying automation initiatives.

The results speak for themselves:

• ISO 9001 certification achieved with reduced audit stress
• Operational efficiency through automation and elimination of duplicate work
• Improved onboarding via self-service access to process maps
• Enhanced recruitment workflows with CRM integration
• Increased confidence across all levels of staff

Now pursuing ISO 14001 certification, Wellcombe Group continues to refine their processes, tailoring them to different roles and needs. Liberty Spark has become more than compliance software it’s a strategic enabler of growth, confidence and resilience.

Finding the right tools or software for risk and compliance is key.

At the end of the day, it is clear that it is crucial for organisations to have a clear and well-defined set of processes in place for effective risk and compliance management. Processes are the foundation of any successful business, as they ensure that various tasks are carried out in an organised and efficient manner. From operational processes to compliance-related requirements, each aspect of the organisation’s functions hinges on a structured system.

The lack of clearly defined processes can lead to chaos, inefficiencies, and risks that can have severe consequences, including compliance breaches, legal penalties, and damaged reputation. In contrast, well-designed processes can improve the overall performance of the organisation by streamlining workflows, enhancing communication, and increasing customer satisfaction.

Process management enables organisations to maintain compliance with regulatory requirements. Through process mapping, compliance-related tasks are identified, documented, and tracked to ensure they are carried out consistently and appropriately. This can prevent costly errors and streamline reporting requirements.

If you’d like to learn more about how Spark can help your business get on track with risk and compliance process management please feel free to reach out to us.