Auditing Your Compliance Team - Maintaining independence

Why Should You Attend:

A compliance audit is undertaken to confirm whether a firm is following the terms of an agreement (such as a bond indenture) or the rules and regulations applicable to an activity or practice prescribed by an external agency or authority. Auditing compliance is essential to ensure fulfillment of regulatory requirements and avoidance of potential fines and sanctions.

This webinar will help the attendees:

• Determine that the scope and authority of compliance team has been properly established.
• Identify emerging threats and issues
• Understand regulatory enforcement
• Understand the risk reporting tools
• Prioritize compliance function
• Determine that your compliance team is adequately addressing changing regulatory environments
• Ensure that your compliance team had the requisite resources need to perform their function.

Areas Covered in the Webinar:

• Qualifications and skill sets
• Software and automation resources
• Multijurisdictional issues
• Cost of compliance
• Cost of non-compliance
• Competing frameworks
• Managing governance while mitigating risk
• Aligning behaviors and setting expectations

Who Will Benefit:

• Chief Audit Executives
• Auditors
• Compliance officers
• Risk Managers

Instructor Profile:

Denise Cicchella, CIA, CFE, CCA, is executive director at Auspicium. Ms. Cicchella has lectured and taught on the topic of construction audit in the past. She has also lead and participated in construction audits of major private and infrastructure projects resulting in large recoveries for her clients. She is also the author of the IIA Handbook: Construction Audit: Overview, Monitoring and Auditing and Auditing for Corporate.

She is the founding president of the New York/New Jersey Chapter of the National Association of Construction Auditors

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