Compliance Programme Audits™

Compliance Programme Audit

Check. Validate. Improve. The critical steps for every successful compliance programme

Building a compliance programme is a time-consuming process, merging an intimate knowledge of your organisation with compliance best practices to build something which truly decreases risk. Assuming this is done perfectly though (and even more importantly if it is not), how would an organisation know if the programme they have implemented is truly fit-for-purpose? One of the most integral components of a successful compliance programme, yet one that is often forgotten about or overlooked, is performing audits which gauge the programme's effectiveness.

Our Compliance Programme Audit™ service will improve upon anything your team can do internally, using our independent compliance specialised auditors to gauge the effectiveness of your programme against both what you’ve drafted and the hundreds of others that they’ve audited. Upon the completion of the audit, your organisation will be presented with an audit report which provides an objective assessment and details the strengths and weaknesses of your programme. Your compliance team can then mitigate the issues that they deem necessary to improve your programme and reduce your overall organisational risk.

The Benefits

ETHIC Intelligence’s Compliance Programme Audits™ are ideal for any organisation that has a compliance programme in place. This valuable tool helps to ensure that your compliance programme is running as effectively as possible, reducing the overall risk of your organisation.

  • A fair external review, conducted by experienced and specialised compliance professionals
  • Flexibility is key to performing an audit with which your organisation is satisfied. We work with you and offer our recommendations before a mutual decision is taken on the scope that best fits your needs. Location, number of people we interview, and the depth of the audits within the organisation.
  • All aspects of your company’s compliance programme are audited against a standard international framework, taking into account local regulations and guidance.
  • There is no pressure to pass or fail. Compliance programme audits simply present the opportunities available to you to improve the effectiveness of your programme.

General Methodology

  1. Prior to the audit we work with you to define the scope of the audit, whether it will cover general compliance, sanctions, anti-bribery, AML, data privacy, or other specific areas of compliance.
  2. Our auditor hosts an opening meeting with your organisation to confirm the audit’s context and establish a tailor-made audit plan.
  3. Our auditor reviews documentation, including compliance processes and procedures, and conducts interviews with your compliance team to review the fundamentals of your programme.
  4. Our auditor visits your site, conducts interviews with staff identified in the audit plan, analyses your processes and practices and presents his/her findings.
  5. Our auditor team drafts the audit report, details the audit findings, and identifies strengths and weaknesses in your programme.

This audit can cover compliance areas that include:

  • General Compliance
  • Anti-bribery
  • Sanctions
  • AML
  • Export Control
  • Data Privacy

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