Compliance Auditing 101 – Online Classroom

29 Jul — 30 Jul 2024
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Compliance Auditing 101 – Online Classroom

July 29 @ 10:00 am - July 30 @ 1:30 pm AEST

$590.91 - $785.00
Compliance auditing is typically used to evaluate whether the organisation is following external regulations; however, it can also be used at a corporate level to determine whether a subsidiary company follows the wider corporation’s procedures and policies.  Internal auditors should exhibit high levels of proficiency and professional due care to ensure adequate testing is performed, reducing the likelihood of failing regulatory and other stakeholders’ expectations. 
This course provides a comprehensive overview of key compliance auditing concepts that are fundamental for all internal auditors. This course will introduce participants to a host of common regulations – both domestic to the AUS/NZ, and globally – in addition to the controls needed to maintain compliance, and how to apply each regulation within the internal audit process.
Course objectives would be:
  • Establish the importance of compliance and compliance reporting.
  • Explore a suite of commonly encountered regulations impacting industries (focussing on data collection, data protection, breach notification and compliance reporting requirements, current proposals, and recent changes.
  • Review the suite of common risks and controls related to identifying and maintaining regulatory compliance in general.
  • Apply common techniques for performing internal audit activities against common regulatory guidelines.
  • Identify common indicators of compliance-related fraud and how to identify, validate, and report such fraud.
  • Evaluate internal audit’s role in compliance.

CPE Points: 7
Knowledge Level: Entry Level/Beginner
Delivery Format: Facilitator-led training via Zoom (Note: This training program will be delivered in two 3 and a half-hour lessons, over two days using Zoom. Registrations will be strictly limited to 12 participants to allow maximum interaction in the online environment.)
For Funds Transfer payments: Download the funds transfer registration form here and email the completed form to [email protected]

Our speakers

  • Photograph
    Photo of Mr Paul Thompson  PMIIA, CIA.
    Mr Paul Thompson PMIIA, CIA
    Paul is an risk, governance, compliance and internal assurance professional with significant and diverse industry and professional services experience (mining, energy, utilities, manufacturing, FMCG, government and telecommunications) within an international context (Australia, United States, Latin America, Europe, Africa and Asia).

    Over his 16 year career to date Paul has worked in consulting as a Director in KPMG’s Governance, Risk, Compliance and Assurance practice and in industry with BHP’s Group Internal Audit Function and as Head of Audit for ED&F Man Plc in London. Paul is currently Head of Audit at Origin Energy who he joined in October of 2020


July 29 @ 10:00 am AEST July 30 @ 1:30 pm AEST

$590.91 - $785.00


The numbers below include tickets for this event already in your cart. Clicking "Get Tickets" will allow you to edit any existing attendee information as well as change ticket quantities.
Compliance Auditing 101 - Online Classroom - IIA Australia - Member
  • $ 650.00 – Member
Compliance Auditing 101 - Online Classroom - IIA Australia - Non-Member
  • $ 785.00 – Non-Member
Compliance Auditing 101 - Online Classroom - Overseas Non-Member
  • $ 713.64 – Non-Member
Compliance Auditing 101 - Online Classroom - NZ and PNG
  • $ 590.91 – Non-Member