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

Learn more and Register