Category: Compliance Auditing for the 21st Century Auditor

Compliance Auditing for the 21st Century Auditor

Compliance Auditing for the 21st Century Auditor

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This course is aimed at audit personnel who need to improve their knowledge and skills in compliance. It is best suited both for experienced professionals and staff who are new to the audit discipline. The demands on compliance departments within authorised firms continue to grow as companies respond to the more intensive, and intrusive, approach of the regulators. As a result, it is vital that new members of the compliance team quickly gain a thorough understanding of the basics of compliance, and the ways in which compliance relates to other parts of the business. There will be the use of case studies and realistic examples to allow delegates apply the knowledge acquired throughout the duration of the course.

Course Objectives

At the end of the course delegates will be able to:

  • Understand the compliance/assurance role in relation to the three lines of defence and in particular, the differences between a compliance/assurance role and an internal audit role
  • Describe a typical governance framework for the compliance role and explain how it helps to promote an effective compliance culture
  • Apply appropriate techniques to the development of a schedule of work for the coming year but noting the need to refresh this across the year in the light of current business intelligence
  • Understand and apply the methodology required to plan for, test and report on compliance reviews
  • Apply your understanding of risk, key controls, testing techniques, sampling, evidence and root cause analysis to the compliance reviews you undertake

Course Outline

  • Compliance/assurance role in relation to the three lines of defence
  • Governance within the compliance assurance role
  • Developing the schedule of work for the year
  • Planning the compliance engagement
  • Fieldwork- Key controls and testing techniques
  • Sampling and evidences
  • Reporting

Our mission is the development of potentials in individuals and organizations in emerging economies. We believe that economies develop when entities within it are performing to their highest potential.


People matter to us. We are committed to understanding our clients so that we can serve them better. Our ultimate goal is to foster mutually beneficial longterm relationships with each of our clients that is built on trust.


Our faculty members are experts within their fields, and are supported by a network of dynamic back-office staff. We actively encourage collaboration and knowledge sharing, recognizing that winning ideas come from collaborative thinking. With the wealth of knowledge within our teams and our collaborative ethos, we create an atmosphere that is conducive to learning for all our delegates.

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