Auditing a Compliance and Ethics Program Evaluating the Design and Operating Effectiveness
Instructor:
Dan Swanson
Product ID: 700238
Training Level: Advanced
- Duration: 60 Min
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
Dan Swanson, CMA, CIA, CISA, CISSP, CAP President and CEO, Dan Swanson & Associates is a 24-year internal audit veteran, who most recently was director of professional practices at the Institute of Internal Auditors. Prior to the IIA, Swanson was an independent management consultant for over 10 years Swanson has completed more than 50 IT preparedness audits – (over the course of way too many years).
Swanson recently led the writing of the OCEG internal audit guide for use in audits of compliance & ethics programs (www.oceg.org) and participated in the COSO small business task force efforts to provide guidance for smaller public companies regarding internal control over financial reporting (www.coso.org)
.The author of more than 75 articles on internal auditing and other management topics, Swanson is currently a freelance writer, an independent management consultant, and regular columnist for Compliance Week and IT Compliance Institute (ITCI).
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