New for 2023, this workshop takes you deep into the auditing and monitoring process, one of the key elements of a compliance program. Designed as an intermediate-level learning experience, attendees will come away with the understanding they need to participate in an effective auditing and monitoring process, whether as a compliance team collaborator, internal auditor, or outside service provider. From planning and scoping considerations to execution and follow-up, workshop leaders will address important considerations and best practices for successful auditing and monitoring within your organization.

Topics include:    

  • Legal and regulatory expectations
  • Designing the plan
  • Types of procedures and approaches
  • Use of data and analytics
  • Dealing with modifications to the audit plan
  • Audits of third parties
  • Reporting and corrective action plans
  • How to handle resistance
  • Communication with stakeholders
  • Assessing program effectiveness

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