5e. ALL – Performing Robust Testing of Policies & Procedures (Intermediate)
Attendees will learn current trends and practices in testing compliance policies and procedures. Topics will include various testing techniques, sampling methodologies, report construction, and issue remediation and tracking.
- Develop risk assessments for firms dependent on their size and business model
- Determine the methods of developing risk-based testing programs
- Understand how to execute compliance testing programs (sampling, report writing, etc.)
- Gather techniques for identifying, managing, and tracking issues. Plus understand how and when to escalate issues discovered during the testing process