Compliance Auditing & Monitoring Workshop
June 19 – 20, 2023 | Virtual, (CT)
Get the know-how you need to implement and maintain effective compliance auditing and monitoring
New for 2023, this workshop takes you deep into the auditing and monitoring process, one of the key elements of a compliance program. Designed as an intermediate-level learning experience, attendees will come away with the understanding they need to participate in an effective auditing and monitoring process, 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 successful 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