Compliance Auditing, Monitoring and Investigations

What this subject covers

Lesson topics

1. Introduction to Compliance Auditing
2. Compliance Audit Planning
3. Compliance Audit Scope
4. Compliance Audit Objectives
5. Audit Evidence
6. Audit Documentation
7. Compliance Testing
8. Sampling Techniques
9. Compliance Checklists
10. Monitoring Programmes
11. Compliance Reviews
12. Spot Checks
13. Investigating Compliance Breaches
14. Investigation Planning
15. Gathering Evidence
16. Interviews and Statements
17. Confidentiality in Investigations
18. Investigation Reports
19. Root Cause Analysis
20. Corrective Action Plans
21. Follow-Up Reviews
22. Compliance Dashboards
23. Compliance Metrics
24. Reporting Compliance to Management
25. Continuous Compliance Improvement