COURSE OVERVIEW

This practical and highly-interactive course includes real-life case studies where participants will be engaged in a series of interactive small groups and class workshops.

This course is designed to provide participants with a detailed and up-to-date overview of Compliance, Audits & Continuous Improvement Techniques. It covers the definition and objectives of compliance, key drivers of compliance and global compliance trends; the regulatory and legal frameworks and compliance risks, apply risk categorization and prioritization, analyze risk impact and compliance risk matrix; establishing a compliance program and corporate governance and internal controls, compliance documentation and recordkeeping; the compliance monitoring techniques, compliance audit planning and risk-based audit approach; and the audit tools and techniques, audit checklists and compliance templates.

Further, the course will also discuss the engagement with stakeholders and audit fieldwork execution and compliance effectiveness assessment; identifying and classifying breaches and immediate response protocols, escalation procedures and reporting obligations; the root cause analysis (RCA), drafting compliance audit reports and audit closing and follow-up; the continuous improvement, lean principles in compliance, six sigma tools for compliance and benchmarking and best practices; and the compliance automation and digital tools and compliance training programs.

During this interactive course, participants will learn the competency matrices and skill gaps and E-learning and microlearning strategies and training effectiveness evaluation; the ethical behavior and incentives and recognition and whistleblower mechanisms; preparing for regulatory audits, coordinate with external auditors and manage audit fatigue; and the audit readiness strategies, setting smart compliance metrics and dashboard development and visualization.