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