Establishing And Developing An Operational Compliance Management System

by Institute Of Internal Auditors - Australia (IIA-A) Claim Listing

This 1.5-day workshop uses the GORC (governance, obligational awareness, risk management and compliance administration) framework to provide participants with the tools to craft an effective operational compliance management system.

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Institute Of Internal Auditors - Australia (IIA-A) Logo

img Duration

10 Hours

Course Details

This 1.5-day workshop uses the GORC (governance, obligational awareness, risk management and compliance administration) framework to provide participants with the tools to craft an effective operational compliance management system to maximise operational compliance that minimises risk and develops a compliance culture.The objective of the course is to help you turn your red tape into a competitive advantage.

 

Learning Outcomes:

At the completion of the workshop, the participants should be able to:

  • Establish and develop a compliance management system from corporate governance, through obligational awareness and risk management down to a compliance obligations register.
  • Explain the difference between obligational awareness and risk management
  • Analyse the root causes of obligations.
  • Tell the difference between mandatory and voluntary obligations.
  • Build a business case for an effective compliance management system by comparing existing financial governance, obligations, risk and compliance structures and resourcing.
  • Understand how to populate obligations register by using the top-down desk knowledge approach as well as the bottom-up data approach
  • Define the controls that apply to different groups f entities
  • Sort and manage all compliance documents into
  • single source of truth (SSOT)
  • Apply the control groups to the SSOT to generate standard compliance reports.
  • Sydney Branch

    Level 5, 580 George Street, Sydney

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