Compliance Auditing & Monitoring Workshop

Unlock the keys to effective compliance auditing & monitoring

Take a deep dive into auditing and monitoring, an important two-pronged approach to compliance program assessment and a core component of an effective program. Designed as an intermediate-level learning experience, this workshop will guide you through the necessary considerations for a successful auditing and monitoring process, whether you’re participating as a compliance team collaborator, internal auditor, or outside service provider. From planning and scoping considerations to execution and follow-up, workshop leaders will provide valuable insights and strategies to help you ensure your compliance efforts are working.

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