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