Compliance Auditing in Financial Institutions
( 24 Modules )

Module #1
Introduction to Compliance Auditing
Overview of compliance auditing, importance, and scope in financial institutions

Module #2
Regulatory Framework
Overview of relevant laws, regulations, and standards governing financial institutions

Module #3
Risk Management in Financial Institutions
Understanding risk management principles and practices in financial institutions

Module #4
Compliance Risk Management
Identifying, assessing, and mitigating compliance risks in financial institutions

Module #5
Audit Planning and Scoping
Defining audit objectives, scope, and approach for compliance audits

Module #6
Audit Fieldwork
Conducting compliance audits, including data collection, testing, and evaluation

Module #7
Audit Reporting and Documentation
Preparing comprehensive and effective audit reports and documentation

Module #8
Auditing Anti-Money Laundering (AML) and Combating the Financing of Terrorism (CFT) Controls
Evaluating AML/CFT controls and procedures in financial institutions

Module #9
Auditing Know-Your-Customer (KYC) and Customer Due Diligence (CDD) Procedures
Assessing KYC/CDD processes and procedures in financial institutions

Module #10
Auditing Sanctions Compliance
Evaluating sanctions compliance programs and procedures in financial institutions

Module #11
Auditing Fraud Risk Management
Assessing fraud risk management practices and procedures in financial institutions

Module #12
Auditing Information Security and Data Protection
Evaluating information security and data protection controls in financial institutions

Module #13
Auditing Internal Controls and Governance
Assessing internal controls, governance, and risk management practices in financial institutions

Module #14
Auditing Compliance with Laws and Regulations
Evaluating compliance with specific laws and regulations, such as the Bank Secrecy Act (BSA)

Module #15
Auditing Compliance Training and Awareness
Assessing compliance training and awareness programs in financial institutions

Module #16
Auditing Third-Party Risk Management
Evaluating third-party risk management practices and procedures in financial institutions

Module #17
Auditing Compliance with Industry Standards and Best Practices
Evaluating compliance with industry standards and best practices in financial institutions

Module #18
Continuous Monitoring and Auditing
Implementing a continuous monitoring and auditing program in financial institutions

Module #19
Audit Quality and Assurance
Ensuring audit quality and assurance in compliance auditing practices

Module #20
Reporting and Remediating Audit Findings
Reporting and remediating audit findings, including root cause analysis and corrective action plans

Module #21
Compliance Audit Program Development
Developing a comprehensive compliance audit program in financial institutions

Module #22
Auditing Compliance in Specific Financial Institution Types
Auditing compliance in specific financial institution types, such as banks, broker-dealers, and insurance companies

Module #23
Auditing Compliance in Emerging Technologies and Digital Channels
Auditing compliance in emerging technologies and digital channels, such as fintech and online banking

Module #24
Course Wrap-Up & Conclusion
Planning next steps in Compliance Auditing in Financial Institutions career

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Compliance Auditing in Financial Institutions ( 24 Modules )

Compliance Auditing in Financial Institutions
( 24 Modules )