Certified Compliance Auditor Training Course

Why select this training course?

The size of an organization does not usually matter when it comes to compliance. Instead, compliance is usually a part of a business’s functioning and structure. This is because compliance has enormous potential to negatively (when gotten wrong) or positively (when gotten right) impact the success and growth of any business. This explains why many organizations invest considerable efforts in building effective compliance processes and systems, hoping to seamlessly establish and maintain compliance programs to ensure adherence to rules and standards.

Organizations with participants must understand that improving their compliance programs involves understanding their functional activities and partners. In addition, it includes identifying areas requiring closer cooperation and, of course, having an effective compliance auditor to help manage the process and maintain best practices.

Compliance Auditing frameworks are necessary to establish a common foundation and understanding among staff to enable them to engage in safe work practices crucial to their efficient performance and increased productivity.

Rcademy’s Certified Compliance Auditor Training Course is an encompassing training course that assists employees and organizations in carrying out ethical and transparent operations and complying with regulatory and legal requirements. This Rcademy training course will take you through how to perform a risk management program (RMP) and process of safety management (PSM) compliance auditing. This training will comply with the Environmental Protection Agency (EPA) and Occupational Safety and Health Administration (OSHA) regulations.

Who should attend?

The Certified Compliance Auditor Training Course by Rcademy has been specifically designed for the following people:

• Senior or middle-level state and federal officers whose jobs involve risk management, internal audit, policymaking, risk supervision, and legal compliance
• Senior executive members
• Senior functional leaders who are looking to transition to general management
• Division-level managers looking forward to taking a new role in corporate-level positions
• Entrepreneurs and prospective business owners
• Senior management members with obligations to ensure the organization’s compliance with global standards.
• Compliance officers with obligations to ensure adherence to protocols and policies of compliance and responsible for standard change maintenance when needed
• HR professionals with obligations to ensure that compliance is infused in work operations and culture and that those who violate face disciplinary actions
• External and audit auditors are in charge of conducting routine checks to certify and ensure that set standards are being
• Internal and external auditors who deploy routine checks to enforce and certify adherence to established rules and regulations
• Shareholders and investors interested in investing in organizations that depict credibility through their compliance with global standards
• Professionals who are interested in compliance auditing to develop their work ethics or undertake higher responsibilities and roles

What are the course objectives?

For taking The Certified Compliance Auditor Training Course by Rcademy, participants will be able to benefit from the following:

• Counsel their organization on legal and constitutional compliance requirements
• Engage their organization in internal compliance and legal audit
• Manage their organization to undergo an external compliance audit
• Manage the process of an external legal compliance audit
• Report on relevant statutory changes and positions
• Develop a matrix for legal compliance for their organizations
• Analyse and implement the report of an external auditor

How will this course be presented?

This Rcademy course has been customized to fit the dynamics of the participants to achieve active inclusiveness throughout the training course. Professionals teach the course training in a relatable and presentable manner. The training also includes plans for participant engagement through role-plays, group activities, presentations, and many other activities.

Participants will also be able to discuss real cases, which can help make the course more relatable to the concerned topic. Opportunities will be presented for participants who want to share their experiences regarding compliance auditing, whether in their organization or elsewhere.

Participants will be taken through four processes, where they can DO what they have been taught, REVIEW the cases before them, LEARN new and relevant things, and APPLY the knowledge they have accumulated during the training.

What are the topics covered in this course?

Module 1: Overview of Compliance

• Meaning of Compliance
• Compliance and its framework
• Compliance standards
• Rules of compliance standards

Module 2: Successful Compliance Activities

• Business workflow & Design
• Coordinating with similar assurance activities
• Assess for integration and burden
• Successful application and implementation of laws and regulations

Module 3: Management of Compliance Risk

• Compliance Risks
  – Theft
  – Embezzlement
  – Bribery
  – Fraud
  – Money laundering
  – Malware
  – Hacking
  – Cybercrimes
• Compliance Risk Management
  – Internal Control
  – Management and governance structure
  – Feedback mechanism
  – Corporate culture
• Prioritise activities
• Actionable updates and regulatory alerts
• Assessment and management of Business Impact

Module 4: Analysis of Compliance Risk

• Risk identification
• Assessment of risk
• Evaluating risk
• Risk treatment
• Corrective, review, and monitoring action
• Communication

Module 5: Compliance Programme

• Scope
  – Meaning of program mandate
  – Monitoring and mitigating risks
• Establishing procedures and policies
• Overseeing misconduct allegations
• Providing communication and training
• Function management

Module 6: Compliance Management Challenges

• Compliance silos
• Compliance assurance and diverse views
• Home-grown systems
• Software (old and rigid)
• Absence of automated monitoring

Module 7: Impacting Factors of Compliance Management

• Nature of audit committee
• Board of directors
• Operating style and philosophy of management
• Organizational structure
• Risk tolerance and culture

Module 8: Significance of Compliance Programmes

• Purpose
  – Prevention
  – Detection
  – Management and control
  – Rectification
  – Monitoring and evaluation
• Organizational risks and enhanced visibility
• Risk management and proper accountability
• Donated funds and stewardship assurance
• Compliance and ethics culture

Module 9: Characteristics of a Standard Compliance Programme

• Experienced audit committee
• Written procedures and policies
• Education and training
• Communication lines
• Standardized disciplinary guidelines
• Compliance monitoring (internal)
• Detected offenses responses
• Interval risk assessments

Module 10: Compliance Programmes Responsibilities

• Fiduciary responsibility
• Financial reporting (federal)
• Internal standards/controls
• Regulatory and legal requirements
• Organizational policies