This GRC training will provide the attendees best practices for auditing their compliance team. Learn how to identify the strengths and weaknesses of your internal compliance departments.
This webinar will help the attendees:
Why Should You Attend:
A compliance audit is undertaken to confirm whether a firm is following the terms of an agreement (such as a bond indenture) or the rules and regulations applicable to an activity or practice prescribed by an external agency or authority. Auditing compliance is essential to ensure fulfillment of regulatory requirements and avoidance of potential fines and sanctions.This webinar will help the attendees:
- Determine that the scope and authority of compliance team has been properly established.
- Identify emerging threats and issues
- Understand regulatory enforcement
- Understand the risk reporting tools
- Prioritize compliance function
- Determine that your compliance team is adequately addressing changing regulatory environments
- Ensure that your compliance team had the requisite resources need to perform their function.
Areas Covered in the Webinar:
- Qualifications and skill sets
- Software and automation resources
- Multijurisdictional issues
- Cost of compliance
- Cost of non-compliance
- Competing frameworks
- Managing governance while mitigating risk
- Aligning behaviors and setting expectations
Who Will Benefit:
- Chief Audit Executives
- Auditors
- Compliance officers
- Risk Managers
Course Provider
Denise Cicchella,
