Auditing a Compliance and Ethics Program Evaluating the Design and Operating Effectiveness

Instructor: Dan Swanson
Product ID: 700238
Training Level: Advanced
  • Duration: 60 Min

recorded version

1x Person - Unlimited viewing for 6 Months
(For multiple locations contact Customer Care)
Recorded Link and Ref. material will be available in My CO Section

Training CD

One CD is for usage in one location only.
(For multiple locations contact Customer Care)
CD and Ref. material will be shipped within 15 business days

Customer Care

Fax: +1-650-963-2556


Read Frequently Asked Questions

This Auditing training will show you how to audit your compliance and ethics program and how to Evaluate the Design and Operating Effectiveness.


Organizations are exposed to governance, compliance and ethical risks daily. Coupled with the current economic, regulatory and social climate, these risks have propelled corporate governance, compliance management and integrity to a top business priority

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

Instructor Profile:

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 ( and participated in the COSO small business task force efforts to provide guidance for smaller public companies regarding internal control over financial reporting (


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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