Compliance & Audit

Advanced

Includes regulatory compliance discussions, audit preparation meetings, compliance training sessions, regulatory reporting communications, audit finding reviews, and compliance monitoring consultations.

Start with lesson 1
6 lessons
  1. Regulatory Compliance Discussion: New Data Protection LawA team meeting discussing the implications of a newly enacted data protection regulation on current business operations and identifying necessary changes to ensure compliance.
  2. Audit Preparation Meeting: Annual Financial AuditKey department heads and the finance team meet to review documents, processes, and potential areas of scrutiny in preparation for an upcoming annual financial audit.
  3. New Hire Compliance Training SessionNew employees attend a mandatory training session covering company compliance policies, ethical guidelines, and regulatory requirements relevant to their roles.
  4. Regulatory Reporting Communication: Quarterly SEC FilingThe legal and finance teams communicate internally about the progress and finalization of a quarterly filing to the Securities and Exchange Commission (SEC), addressing any last-minute questions or discrepancies.
  5. Audit Finding Review & Action Plan DiscussionManagement reviews initial findings from an internal or external audit, discusses potential risks, and outlines an action plan to address identified non-compliance issues or weaknesses.
  6. Compliance Monitoring Consultation: AML Framework UpdateA compliance officer consults with a business unit leader to discuss updates to the Anti-Money Laundering (AML) framework and how these changes will be monitored and enforced within their operations.