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Compliance Monitoring Visits
26 January 2009 • The Hatton • London
This focused course cover the essentials of how to prepare, execute and report on a compliance monitoring visit, including planning, monitoring techniques and risk identification. It will also explore some of the people and ‘political’ challenges encountered, and suggest how these can be resolved or avoided.
Key issues to be covered in this course will include:
- Making the most efficient use of Compliance resource: what skills are required and how are they deployed to greatest effect
- How best to obtain senior management and business support for monitoring
- Knowing when monitoring visits are necessary and when they can be avoided or substituted with other monitoring approaches
- Successful methods for communicating the objectives of a monitoring visit to those under review
- Maintaining the focus of a monitoring visit: when to apply judgement or discretion
- Effective techniques for providing clear and meaningful feedback from a monitoring visit
- How to recognise, and overcome, overt or hidden resistance to compliance monitoring
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