SCCE Compliance Auditing & Monitoring Conference

1. Don't Let Red Flags Go Undetected: Anti-corruption Compliance Auditing

   SCCE Compliance Auditing & Monitoring Conference  | September 20, 2022 

   • Conducting a vulnerability assessment to identify corruption risks and select audit location targets

   • Preparing a comprehensive anti-corruption audit workplan and completing pre-audit activities

   • Conducting an anti-corruption compliance program audit and determining post-audit requirements

2. Is Your Hotline Hot? Discovering Tools for Auditing and Monitoring

   SCCE Compliance Auditing & Monitoring Conference  | September 20, 2022 

   • Discover and understand the hidden messages in your hotline data

   • Prioritize real risk areas based on your own actual statistics

   • Develop processes and tools to assist with your auditing and monitoring efforts

3. You Can't Manage What You Can't Measure

   SCCE Compliance Auditing & Monitoring Conference  | September 20, 2022 

   • How Compliance Can Seize Business Benefits and Meet Regulator Expectations from Establishing, Monitoring, and Auditing ESG Metrics

   • How compliance can play an increasingly important role in business decisions related to ESG activities

   • How compliance works with audit to lead process design, implementation, and monitoring that meet SEC Standards

   • How to develop key ESG metrics that will be increasingly important to global regulators

4. Proactive Auditing and Monitoring - Ways to Ensure Your Compliance Program Is Effective

   SCCE Compliance Auditing & Monitoring Conference  | September 20, 2022 

   • 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

5. Compliance Auditing - Three Objectives Approach

   SCCE Compliance Auditing & Monitoring Conference  | September 20, 2022 

   • How to apply concept of the "Three Objectives" approach for compliance auditing

   • Objectives: Are we compliant? How did we obtain compliance? Can we do it better next time?

   • Increase management's involvement and drive appropriate actions post completed audit

6. Auditing & Monitoring the Deep Dive - Breaking the Cycle While Improving Process

   SCCE Compliance Auditing & Monitoring Conference  | September 20, 2022 

   • Utilizing dashboards, statistics, and other metrics to continuously evaluate, track, and observe

   • Why auditing and monitoring and continuous process improvement go hand in hand

   • Discuss company culture and the impact it has on the success of auditing and monitoring efforts

7. When Crossing the Line Is a Good Thing: The Role of Compliance and Collaboration in the Three Lines Model

   SCCE Compliance Auditing & Monitoring Conference  | September 20, 2022 

   • Deepen understanding on the three lines model with focus on role and responsibilities of compliance

   • Discuss leading practices for auditing and monitoring across the three lines model

   • Learn from practical examples with key takeaways and tools

8. Real-Time Transaction Monitoring: Satisfying Regulatory Expectations of Immediate Detection of Wrongdoing

   SCCE Compliance Auditing & Monitoring Conference  | September 20, 2022 

   • Learn how to monitor transactional data for risks related to fraud, bribery, and sanctions

   • Learn how to collect key data, process and analyze it, and action the resulting insights

   • Understand how monitoring can help to continuously improve your compliance program

9. Developing an Audit Engagement Scope and Approach: Audit Skills 2.0

   SCCE Compliance Auditing & Monitoring Conference  | September 20, 2022 

   • 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