IA Professional Series - M13 - Compliance Auditing (PDF)

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BENEFITS OF THIS PDF DOCUMENT

1. Provides comprehensive compliance universe mapping methodologies with requirement inventory templates and regulatory change monitoring procedures ensuring complete identification of all laws, regulations, contracts, and policies governing organizational o
2. Delivers specialized compliance testing procedures for critical regulatory areas including anti-bribery/corruption, data privacy (GDPR), labor law, and environmental compliance with industry-specific considerations for financial services, healthca
3. Equips professionals with continuous compliance monitoring frameworks including key compliance indicators, dashboard design specifications, and vendor compliance evaluation procedures enabling proactive identification of compliance issues between periodic

AUDIT MANAGEMENT PDF DESCRIPTION

This product (IA Professional Series - M13 - Compliance Auditing) is a 40-page PDF document, which you can download immediately upon purchase.

The Internal Audit Professional Series is a comprehensive 18-module training program designed to transform internal audit professionals from foundational competence to strategic excellence. Developed and published by Business Excellence, a leading advisory and consultancy firm specializing in internal audit, risk management, corporate governance, and business strategy, this series delivers practical, actionable knowledge aligned with the Global Internal Audit Standards (GIAS 2024).

Module 13: Compliance Auditing provides comprehensive methodologies for navigating regulatory requirements and auditing organizational compliance. This module equips professionals with practical frameworks for identifying compliance obligations, assessing regulatory risks, designing audit programs, and establishing continuous compliance monitoring.

This module covers 7 comprehensive sections:

1. Identifying All Compliance Obligations – Building a comprehensive compliance universe through regulatory obligation identification processes covering laws, regulations, industry standards, contractual requirements, internal policies, and licensing requirements. Includes compliance requirement inventory templates and regulatory change monitoring procedures.

2. Prioritizing Compliance Risks – Systematic risk assessment through compliance risk factor identification covering penalty severity, enforcement likelihood, reputational impact, operational impact, historical violations, and requirement complexity. Features regulatory penalty impact assessment and compliance risk scoring methodologies.

3. Building Effective Compliance Tests – Designing audit programs through compliance testing procedures by type (policy, regulatory, contractual, license compliance), policy compliance verification steps, regulatory compliance testing methodology, and procedure adherence testing frameworks.

4. Common Compliance Areas – Specialized testing procedures for anti-bribery/corruption (FCPA, UK Bribery Act), data privacy (GDPR), labor law compliance, environmental compliance, and industry-specific considerations for financial services, healthcare, manufacturing, technology, and government contractors.

5. Extending Compliance to Third Parties – Vendor compliance management through vendor compliance evaluation procedures, contractual compliance testing covering service levels, security requirements, insurance, and reporting obligations, and supply chain compliance monitoring frameworks with risk-tiered assessment approaches.

6. Reporting Compliance Issues – Documenting findings with proper regulatory citation requirements, compliance finding severity assessment frameworks, remediation timeline standards, and guidance on external regulatory reporting considerations.

7. Ongoing Compliance Assurance – Continuous monitoring through automated testing, periodic sampling, exception reporting, and trend analysis. Features key compliance indicator development, compliance dashboard design, and compliance monitoring reporting frameworks.

This module includes ready-to-use tools such as compliance requirement inventory templates, compliance risk assessment matrices with weighted scoring, compliance audit program templates, regulatory compliance testing checklists for FCPA, GDPR, labor law, and environmental requirements, vendor compliance evaluation procedures, compliance finding severity frameworks, key compliance indicator guides, and compliance dashboard design specifications.

The Internal Audit Professional Series progresses through four levels: Foundation (Modules 1-5), Core Processes (Modules 6-10), Specialized Practice (Modules 11-14), and Advanced Application (Modules 15-18). Save significantly by purchasing the complete 18-module bundle.

Source: Best Practices in Audit Management, Compliance PDF: IA Professional Series - M13 - Compliance Auditing PDF (PDF) Document, Amer Morgan