Compliance Auditing & Monitoring Conference
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HCCA01 Developing an Annual Audit Plan
Compliance Auditing & Monitoring Conference | September 06, 2023
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Use a risk assessment and reconcile available resources to draft an annual audit plan
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Communicate the plan, get buy-in, make adjustments to the draft, and get approval
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Use your approved annual plan Cto drive work and report back on results
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HCCA02 Using a Gap Analysis to Build an Effective Auditing and Monitoring Process
Compliance Auditing & Monitoring Conference | September 06, 2023
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Use gap analysis to determine what to audit
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Learn strategies to identify typical gaps and what steps to take to close them
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Learn how to address any deficiencies including developing a corrective action plan if needed
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SCCE02 How to Efficiently Leverage Compliance Monitoring for ISO Audits?
Compliance Auditing & Monitoring Conference | September 06, 2023
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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
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Learn how to efficiently conduct /coordinate ISO audits by linking the monitoring program to the process
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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
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HCCA03 Data Compass: Navigating Monitoring Priorities and Unlocking the Power of the Right Data
Compliance Auditing & Monitoring Conference | September 06, 2023
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Learn methods to prioritize monitoring efforts based on compliance risks and organizational goals
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Gain insights into effective approaches for aligning monitoring priorities with regulatory requirements
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Understand data analysis techniques to extract meaningful insights and identify compliance issues
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SCCE03 Using the Right Data and Analytics with Dashboards to Identify What, Where and When to Audit
Compliance Auditing & Monitoring Conference | September 06, 2023
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Identify areas to audit with data analytics and dashboards for appropriate actions and monitor for compliance
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Incorporation of 3rd party data to identify outside risks to address program integrity and avoid provider abrasion
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Improve state and federal reporting, ensure compliance, improve quality of care, and reduce cost of care
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HCCA04 Auditing Compliance and Ethics at the Speed of Business
Compliance Auditing & Monitoring Conference | September 06, 2023
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The COVID-19 pandemic and its aftermath have dramatically increased the speed with which compliance and ethics risks take root across all industries
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This elevated risk environment requires an auditing mindset and approach that is just as adaptive and resilient as business operations
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A resilient auditing approach and actual case study will be introduced that can help continuously assess what to audit and when
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SCCE04 ESG Audits: Criteria, Compliance, Consequences, and a Way through the Clutter
Compliance Auditing & Monitoring Conference | September 06, 2023
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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
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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
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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
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HCCA05 Auditing Controls versus Transactions: A Case Study
Compliance Auditing & Monitoring Conference | September 06, 2023
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Identify the need for controls testing in addition to transaction testing
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Understand the basics of control design adequacy
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Identify the nature, timing, and extent of testing needed to assess a compliance objective
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SCCE05 Using Data Analytics for Anti-corruption and Fraud Monitoring and Testing
Compliance Auditing & Monitoring Conference | September 06, 2023
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What is data analytics and how can it be used to identify bribery and fraud risks
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What are the different tools for performing data analytics and how are they developed
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What is the process for designing, implementing, and utilizing data analytics tools, and what are common roadblocks
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HCCA06 Leveraging Metrics - Keeping Performance Interesting (KPIs)
Compliance Auditing & Monitoring Conference | September 06, 2023
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Assist your team is understanding how metrics help the entire organization make better decisions
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Learn how to make KPIs that engage your team and help them track progress in meaningful ways
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Develop performance milestones that ensure your monitoring objectives are achieved
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SCCE06 The Three Lines of Defense in Compliance: How to Prepare Your Organization for Compliance Success
Compliance Auditing & Monitoring Conference | September 06, 2023
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The importance of accurate internal monitoring of risk
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How to establish internal mechanisms and monitoring to ensure compliance standards are met
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The importance of establishing internal audit functions to assure risk is properly managed
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Don't Let Red Flags Go Undetected: Anti-corruption Compliance Auditing
SCCE Compliance Auditing & Monitoring Conference | September 20, 2022
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Conducting a vulnerability assessment to identify corruption risks and select audit location targets
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Preparing a comprehensive anti-corruption audit workplan and completing pre-audit activities
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Conducting an anti-corruption compliance program audit and determining post-audit requirements
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Is Your Hotline Hot? Discovering Tools for Auditing and Monitoring
SCCE Compliance Auditing & Monitoring Conference | September 20, 2022
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Discover and understand the hidden messages in your hotline data
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Prioritize real risk areas based on your own actual statistics
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Develop processes and tools to assist with your auditing and monitoring efforts
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You Can't Manage What You Can't Measure
SCCE Compliance Auditing & Monitoring Conference | September 20, 2022
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How Compliance Can Seize Business Benefits and Meet Regulator Expectations from Establishing, Monitoring, and Auditing ESG Metrics
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How compliance can play an increasingly important role in business decisions related to ESG activities
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How compliance works with audit to lead process design, implementation, and monitoring that meet SEC Standards
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How to develop key ESG metrics that will be increasingly important to global regulators
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Proactive Auditing and Monitoring - Ways to Ensure Your Compliance Program Is Effective
SCCE Compliance Auditing & Monitoring Conference | September 20, 2022
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Identifying compliance risk areas for your audit and monitoring plan
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Creating an enterprise risk assessment and ensuring the work plan addresses identified risks
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Monitoring effectiveness of the audit work plan
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Compliance Auditing - Three Objectives Approach
SCCE Compliance Auditing & Monitoring Conference | September 20, 2022
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How to apply concept of the "Three Objectives" approach for compliance auditing
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Objectives: Are we compliant? How did we obtain compliance? Can we do it better next time?
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Increase management's involvement and drive appropriate actions post completed audit
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Auditing & Monitoring the Deep Dive - Breaking the Cycle While Improving Process
SCCE Compliance Auditing & Monitoring Conference | September 20, 2022
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Utilizing dashboards, statistics, and other metrics to continuously evaluate, track, and observe
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Why auditing and monitoring and continuous process improvement go hand in hand
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Discuss company culture and the impact it has on the success of auditing and monitoring efforts
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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
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Deepen understanding on the three lines model with focus on role and responsibilities of compliance
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Discuss leading practices for auditing and monitoring across the three lines model
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Learn from practical examples with key takeaways and tools
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Real-Time Transaction Monitoring: Satisfying Regulatory Expectations of Immediate Detection of Wrongdoing
SCCE Compliance Auditing & Monitoring Conference | September 20, 2022
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Learn how to monitor transactional data for risks related to fraud, bribery, and sanctions
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Learn how to collect key data, process and analyze it, and action the resulting insights
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Understand how monitoring can help to continuously improve your compliance program
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Developing an Audit Engagement Scope and Approach: Audit Skills 2.0
SCCE Compliance Auditing & Monitoring Conference | September 20, 2022
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How to assess the risk of non-compliance
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Designing the audit approach: controls testing vs. substantive testing
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Reporting your audit opinion: adequacy of process design AND effectiveness of process implementation
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