Auditing a Compliance and Ethics Program Evaluating the Design and Operating Effectiveness

This Auditing training will show you how to audit your compliance and ethics program and how to Evaluate the Design and Operating Effectiveness. Organizations are exposed to governance, compliance and ethical risks daily. Coupled with the current economic, regulatory and social climate, these risks have propelled corporate governance, compliance management and integrity to a top business priority

More than ever, the business community perceives the need not only to articulate the principles of good governance, compliance, risk management, and ethics - but also to integrate these concepts into the fabric of day-to-day business - and use them to drive better performance.

An effective internal audit (IA) function is a valuable resource for management, the board and audit committee due to its understanding of the organization and its culture, operations, and risk profile. The objectivity, skills, and knowledge of competent internal auditors can contribute to the effectiveness of an organization's internal control, risk management, and related governance processes

An internal audit of a compliance and ethics program will assist in improving the governance practices of your organization.

Areas Covered in the seminar:

• Audit scope
• What is the goal?
• Planning efforts
• The general audit steps
• Audit risk assessment
• Audit objectives
• Audit approach
• What auditors like to see
• Audit testing
• Issues to watch out for
• Other considerations
• The audit report

Who Will Benefit:

• Chief Audit Executives
• Internal Auditors
• CEOs, CFOs, Chief Legal Counsel
• Compliance and Ethics Officers
• Board Members
• Executive Management with oversight responsibilities for compliance and ethics initiatives
• Risk Managers