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How to Carry Out a Compliance Audit

Course summary
1 day
205 GBP excl. VAT
Next available date: Enquire for more information - London
Open / Scheduled

How to Carry Out a Compliance Audit

How to Carry Out a Compliance Audit

The importance of an internal audit function relating to the broking/intermediary/insurance industry needs to be re-emphasised and an effective internal audit function should serve as a resource to the management.  Compliance audits are routinely carried as a comprehensive review of a company, business or organization’s attention and adherence to specific statutory and regulatory rules and guidelines.

This workshop will explore the audit process and how to engage staff to embrace its function.

Outcome / Qualification etc.

  • Consider the best approach to inform staff of the process of auditing, including negative approaches and how to overcome them
  • Understand, investigate and determine audit parameters
  • Describe what will be examined during the compliance audit
  • Understand how to gather information relating to the specific area being audited
  • Review checklists and styles of audit


London price is 205 GBP.

Regional price is 160 GBP.

Provider: Searchlight

Searchlight - Training Courses for the Business Insurance Industry

Searchlight - Leading UK Training & Consultancy Company for Insurance and Financial Services Professionals

Searchlight is the UK's foremost provider of training for the insurance and financial services industry, covering the full range of technical, regulatory and soft skills needed by professionals operating in this dynamic business environment. Searchlight was the first organisation to receive...

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18, The Courtyard, Common Lane, Culcheth
WA3 4HA Cheshire

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