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Register | Agenda & Speakers | Continuing Education

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