Compliance Auditing & Monitoring Conference

1. HCCA01 Developing an Annual Audit Plan

   Compliance Auditing & Monitoring Conference  | September 06, 2023 

   • Use a risk assessment and reconcile available resources to draft an annual audit plan

   • Communicate the plan, get buy-in, make adjustments to the draft, and get approval

   • Use your approved annual plan Cto drive work and report back on results

2. HCCA02 Using a Gap Analysis to Build an Effective Auditing and Monitoring Process

   Compliance Auditing & Monitoring Conference  | September 06, 2023 

   • Use gap analysis to determine what to audit

   • Learn strategies to identify typical gaps and what steps to take to close them

   • Learn how to address any deficiencies including developing a corrective action plan if needed

3. SCCE02 How to Efficiently Leverage Compliance Monitoring for ISO Audits?

   Compliance Auditing & Monitoring Conference  | September 06, 2023 

   • Understand compliance as a convergent point, linking Governance, Risk Management, business activities, and regulatory matters, and explore the perception of compliance as a "brake" to business vs. its true role as a business partner that enables anticipation and avoidance of issues

   • Learn how to efficiently conduct /coordinate ISO audits by linking the monitoring program to the process

   • Learn how to best combine the KPIs needed for the organization, the regulators, and the auditors to provide a holistic view of the organization for the ISO audit

4. HCCA03 Data Compass: Navigating Monitoring Priorities and Unlocking the Power of the Right Data

   Compliance Auditing & Monitoring Conference  | September 06, 2023 

   • Learn methods to prioritize monitoring efforts based on compliance risks and organizational goals

   • Gain insights into effective approaches for aligning monitoring priorities with regulatory requirements

   • Understand data analysis techniques to extract meaningful insights and identify compliance issues

5. SCCE03 Using the Right Data and Analytics with Dashboards to Identify What, Where and When to Audit

   Compliance Auditing & Monitoring Conference  | September 06, 2023 

   • Identify areas to audit with data analytics and dashboards for appropriate actions and monitor for compliance

   • Incorporation of 3rd party data to identify outside risks to address program integrity and avoid provider abrasion

   • Improve state and federal reporting, ensure compliance, improve quality of care, and reduce cost of care

6. HCCA04 Auditing Compliance and Ethics at the Speed of Business

   Compliance Auditing & Monitoring Conference  | September 06, 2023 

   • The COVID-19 pandemic and its aftermath have dramatically increased the speed with which compliance and ethics risks take root across all industries

   • This elevated risk environment requires an auditing mindset and approach that is just as adaptive and resilient as business operations

   • A resilient auditing approach and actual case study will be introduced that can help continuously assess what to audit and when

7. SCCE04 ESG Audits: Criteria, Compliance, Consequences, and a Way through the Clutter

   Compliance Auditing & Monitoring Conference  | September 06, 2023 

   • Drivers and criteria for ESG audits: Highlight audits driven by regulatory, compliance, customer requirements, reporting frameworks, and SEC rules, including internal audits, external audits, and the growing call for assurance on sustainability reporting

   • Challenges and risks arising from ESG audit findings: Discuss findings, recommendations, actions, communications, and reporting that arise from ESG audits, highlighting potential contradictions and risks to the audited entity

   • COSO Supplemental Guidance on Sustainability reporting: Hear Mr. Hileman, an author of COSO's sweeping new reference, "Achieving Effective Internal Control over Sustainability Reporting (ICSR)", describe applicability to compliance and auditing functions

8. HCCA05 Auditing Controls versus Transactions: A Case Study

   Compliance Auditing & Monitoring Conference  | September 06, 2023 

   • Identify the need for controls testing in addition to transaction testing

   • Understand the basics of control design adequacy

   • Identify the nature, timing, and extent of testing needed to assess a compliance objective

9. SCCE05 Using Data Analytics for Anti-corruption and Fraud Monitoring and Testing

   Compliance Auditing & Monitoring Conference  | September 06, 2023 

   • What is data analytics and how can it be used to identify bribery and fraud risks

   • What are the different tools for performing data analytics and how are they developed

   • What is the process for designing, implementing, and utilizing data analytics tools, and what are common roadblocks

10. HCCA06 Leveraging Metrics - Keeping Performance Interesting (KPIs)

    Compliance Auditing & Monitoring Conference  | September 06, 2023 

    • Assist your team is understanding how metrics help the entire organization make better decisions

    • Learn how to make KPIs that engage your team and help them track progress in meaningful ways

    • Develop performance milestones that ensure your monitoring objectives are achieved

11. SCCE06 The Three Lines of Defense in Compliance: How to Prepare Your Organization for Compliance Success

    Compliance Auditing & Monitoring Conference  | September 06, 2023 

    • The importance of accurate internal monitoring of risk

    • How to establish internal mechanisms and monitoring to ensure compliance standards are met

    • The importance of establishing internal audit functions to assure risk is properly managed

12. 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

13. 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

14. 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

15. 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

16. 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

17. 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

18. 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

19. 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

20. 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