Compliance audit and assurance - Oct 25
-
7 October 2025 12:00am to 8 October 2025 12:00am
-
Training course
The purpose of this course is to provide a framework for those who work in a compliance, assurance, or internal audit role.
The purpose of this course is to provide a framework for those who work in a compliance, assurance, or internal audit role. This framework will help to underpin understanding about the importance of the compliance assurance work they undertake as well as to ensure the quality of that assurance work.
By compliance or assurance role we mean those who work in the second line or those who have assurance responsibilities within the first line.
Course overview
- new entrants to a compliance or assurance role with little or no experience of how to ensure they are providing credible assurance
- subject matter experts who join or are seconded to a compliance role who need to get up to speed quickly with the tools and techniques needed to provide assurance
- those who work in a compliance or assurance role in their own organisation or those who undertake compliance/assurance reviews in third party organisations, for example audits of third-party compliance with outsourced contracts
- internal auditors with a remit to collaborate with / provide oversight or review of a compliance function
Upon completion you will be able to:
- confidently articulate the compliance role and its importance to your organisation
- assess the framework by which the senior leadership team can encourage better understanding of risk, control and compliance across the organisation
- understand where you fit within the Chartered IIA’s three lines model
- compare your organisation’s approach to compliance with good practice
- have an awareness of and understand how to develop plans for the year or quarter, including continuous risk monitoring, risk-based planning based on risk maturity, and a defined compliance universe
- understand issues around internal control such as control design effectiveness assessment, types of control, and control activities
- plan risk-based compliance reviews using the appropriate documentation and applying your knowledge of risk and internal control
- design a compliance test programme that will enable testing of key controls and generation of appropriate sample sizes and evidence
- evaluate the quality of the evidence collated, formulate findings and conclusions, and appreciate the techniques involved in preparing an effective compliance report
- assess the quality of your own methodologies in providing credible assurance on your compliance universe.
- What is compliance audit?
- Importance of the compliance role
- Accountability and culture
- Establishing a compliance function
- Annual planning
- Risk and internal control
- Planning the compliance review
- Testing
- Reporting
- Assurance
There will be some pre-course preparation for this module which you will be advised on upon confirmation of your booking.
- Performance (Internal control | Engagement planning | Engagement fieldwork | Engagement outcomes)
14 CPE points
*Please note that the price for this training course is excluding VAT*