SCCE Compliance Auditing & Monitoring Conference
Proactive Auditing and Monitoring – Ways to Ensure Your Compliance Program Is Effective
10:15 AM CDT – 11:15 AM CDT
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.
Learning Objectives:
- Identifying compliance risk areas for your audit and monitoring plan
- Creating an enterprise risk assessment and ensuring the work plan addresses identified risks
- Monitoring effectiveness of the audit work plan
