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Fundamentals of Compliance Auditing

Format: Online, In-Person

While compliance auditing is typically used to evaluate whether the organization is following external regulations, it can also be used at a corporate level to determine whether a subsidiary company follows the wider corporation's procedures and policies. Internal auditors should exhibit the proficiency and professional due care to ensure adequate testing is performed, reducing the likelihood of failing regulatory and other stakeholders expectations.

This introductory course provides a comprehensive overview of key compliance auditing concepts that are fundamental for all internal auditors. This course will introduce participants to a host of common regulations and the controls needed to maintain compliance, and how to apply each regulation within the internal audit process. Additionally, this course will explore the associated reporting requirements (SOX, PCI, HIPAA, Breach Notification, OFAC, ESG, and others) and how to collect evidence and perform internal audit activities against the regulatory reporting guidelines.

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