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SCCE Compliance Auditing & Monitoring Conference

Welcome & Announcements

8:55 AM CT – 9:00 AM CT

Determining What and When to Audit

9:00 AM CT – 10:00 AM CT

Learning Objectives:

  • Audit the design and effectiveness of a compliance program, company’s culture, and internal controls
  • Plan and scope audit considering other internal/external reviews, their timing, coverage, and outcome
  • Risk based audits should be done regularly, and ad-hoc audits should be done as circumstances may warrant


Renu Jha
Founder and Principal, Ethic Ally Compliance and Audit Solutions

View Bio

We are actively monitoring attendance. At random times throughout this session, you will be prompted with a pop-up to confirm that you are still actively participating in the virtual session. You will not see the pop ups if you are in full screen mode or your pop-up blocker is on. In addition, make sure you are disconnected from any VPN as they can also cause interference and that you have a stable internet connection (hard line is always best).Active attendance monitoring is only required if you will be requesting external CEUs for NASBA or CLE credits. If you only need Compliance Certification Board (CCB)® CEUs, it is not required to participate in active monitoring.