Auditing and Compliance Management

In today’s increasingly regulated corporate environment, organizations face heightened scrutiny and greater risks. This course equips participants with a comprehensive understanding of auditing practices and compliance management frameworks. Designed for professionals tasked with maintaining legal, regulatory, and ethical standards, the course enhances participants' ability to manage risk, maintain integrity, and support sustainable organizational success.

By the end of the course, participants will be able to:

• Define key compliance concepts and frameworks in a corporate setting
• Conduct risk identification, assessment, and treatment in compliance contexts
• Implement and manage an effective compliance program within an organization
• Evaluate the challenges and success factors in compliance management
• Align auditing practices with organizational policies and regulatory requirements

• Senior managers overseeing compliance and ethics programs
• Compliance officers and managers
• Internal and external auditors
• HR professionals involved in regulatory training and standards enforcement

Module 1: Overview of Compliance

• Definition of compliance
• Compliance framework and standards
• Compliance rule definitions

Module 2: Features of Effective Compliance Activities

• Integration into business workflow
• Coordination with assurance activities
• Burden and integration assessment

Module 3: Compliance Risk Management Approach

• Prioritizing compliance activities
• Actioning regulatory updates
• Business impact assessments

Module 4: Compliance Risk Analysis Steps

• Identifying and assessing risks
• Evaluating and treating compliance risks
• Monitoring and corrective actions

Module 5: Scope of a Compliance Programme

• Policy and procedure development
• Training and communication
• Misconduct oversight

Module 6: Challenges in Compliance Management

• Overcoming compliance silos
• Addressing outdated systems
• Implementing automated monitoring

Module 7: Elements of an Effective Compliance Programme

• Audit committees and governance
• Communication lines and monitoring
• Periodic assessments

Module 8: Factors Impacting Compliance Management

• Board and management dynamics
• Risk culture and tolerance
• Organizational structure

Module 9: Importance of Compliance Programmes

• Enhancing risk visibility
• Promoting ethical culture
• Strengthening accountability

Module 10: Responsibilities of Compliance Programs

• Legal and regulatory obligations
• Internal controls and fiduciary duties
• Organizational policy enforcement

The course combines various teaching methods, including instructor-led presentations, group discussions, case study analyses, and assessments through quizzes and a final exam to engage participants and ensure they understand and retain the material.