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