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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