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 a risk-based audit and monitoring plan
• Types of tests, procedures, and approaches
• Use of data and analytics 
• Dealing with modifications and to the audit plan
• Audits of third parties
• Reporting and corrective action plans
• How to handle resistance
• Communication with stakeholders
• Assessing program effectiveness

Attendees will be able to earn live Compliance Certification Board (CCB)® continuing education units (CEUs) from the comfort of home or office!

Is your organization’s compliance program set up for long-term success?

For a compliance program to be successful, it's essential to monitor performance on an ongoing basis, and periodically stop and audit your efforts.

Join us for the Compliance Auditing and Monitoring Conference. This virtual conference will provide insights into how compliance teams are implementing effective auditing and monitoring programs to minimize risks and make continuous improvements that lead to long-term success.  

Past topics have included: 

• Deciding what to monitor and how to get the right data 
• Building a dashboard that provides real insight 
• Determining what and when to audit 
• Creating a working feedback loop to enable continuous improvement to your program 
• The three lines of defense in the compliance context: Leveraging metrics, auditing, monitoring, and third-party risk

Attendees will be able to earn live Compliance Certification Board (CCB)® continuing education units (CEUs) from the comfort of home or office!