Financial Institutions internal, independent audit function is the last line of defense before regulators and law enforcement, and it is a daunting responsibility. It is supposed to help ensure the health of various compliance programs. Why are corporate audit departments not catching more AML program gaps and weaknesses before regulators and law enforcement feel the need to step in? This webinar covers the main points to be included in a FCC audit plan to ensure that the institution is conducting the necessary verification of its compliance program.
This webinar will be conducted in Mandarin.
Understanding the essential components of an effective Audit Governance model
Creating an audit risk assessment methodology
Best practices in audit engagement planning, execution and reporting
FinTech and Innovation Specialists
AML Audit / Testing
Auditing and Assurance