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SCCE Compliance Auditing & Monitoring Conference

Developing an Audit Engagement Scope and Approach: Audit Skills 2.0

2:30 PM CDT – 3:30 PM 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:

  • How to assess the risk of non-compliance
  • Designing the audit approach: controls testing vs. substantive testing
  • Reporting your audit opinion: adequacy of process design AND effectiveness of process implementation


James Rose
Managing Director, SunHawk Consulting LLC

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