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Don't forget to look for the dumb stuff

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The auditing and monitoring aspect of a compliance and ethics program can be confusing and quite complicated. Most importantly, it needs to align with a regularly updated risk assessment—meaning it has to change over time. One valuable tool in this regard is data analytics, which can be designed to look for very specific anomalies indicative of noncompliance, fraud, and internal control breakdowns. In my many years of designing data analytics, and of teaching courses on the application of analytics to compliance and fraud detection, I found that the greater the understanding of its capabilities, the better equipped you become at fine-tuning analytics to search for specific issues.

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