Learn the keys to effective compliance auditing and monitoring
The auditing and monitoring process is critical to a compliance program’s success, in that it provides ongoing assessment of processes, procedures, and potential escalation of risk. Designed as an intermediate-level learning experience, this workshop provides attendees with an understanding of how to successfully participate in auditing and monitoring, 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 helping to minimize risk through 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
Who should attend?
- Compliance and ethics professionals
- Internal auditors
- Third-party auditing service firms
- Fraud examiners
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