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Validity : 13th May'24 to 23rd May'24
Combining internal audit with the compliance function
- Global economic challenges and issues
- Changing regulatory environment
- Financial markets turmoil
- Shrinking workforce
- Budget restrictions
- Risk management challenges and oversight
- Worldwide oversight
Overview of the webinar
Silos of information prevent companies from effectively knowing all their compliance issues and related risks. The Internal Audit department usually is aware of much information about the company as the auditors are always out in the field and discussing processes and issues with employees. Combining Internal Audit with the Compliance function can be beneficial to maximizing company knowledge, breaking down siloed information, and combining data to avoid compliance issues and ensure proper risk identification
Who should attend?
Internal Audit directors and staff
Compliance department directors and staff
Human Resources directors and staff
Why should you attend?
Companies spend a lot of time setting up Compliance departments, Ethics programs, and then validating the effectiveness of those departments by having them audit themselves. Internal Audit is management’s department for auditing and evaluating the effectiveness of company operations and financial information. Internal Audit is always in the field reviewing these operations and can often find out many Compliance and Ethics issues while doing their audits. Often each department keeps this information to itself, or siloes, so that an issue uncovered by one group is not revealed to the others. This class will identify those areas of review overlap, and how you can more effectively use this information and avoid issues or problems that may affect the company.
Faculty - Mr.Elliot Fisch
Elliot Fisch, CPA, CIA, CFE, CFF, CGMA, CRMA has over 30 years of experience in internal audit, corporate compliance, ethics, fraud reviews and financial and project management in the corporate, government and consulting sectors. He has extensive experience in the compliance discipline with significant responsibilities to oversee relations with various governmental authorities. Elliot has directed internal audit departments in multi-billion dollar international organizations developing audit staff using a collaborative teamwork approach.
He has also worked successfully with company executives and the Board of Directors. Elliot has been a Compliance Monitor and has developed Corporate Ethics, Code of Conduct, Fraud Hotline, and Regulatory Compliance programs including training programs on these topics. He also has extensive experience with Sarbanes-Oxley Act requirements developing policies, procedures, testing and solutions to validate the organization’s control framework and has conducted reviews to ensure the reliability and presentation of financial statement and contract data.