Auditing and Governance Risk and Compliance

Compliance Auditing and Regulatory Inspections

Compliance audits verify that organisations meet legal, regulatory and internal requirements, and help prepare for regulatory inspections. This course covers compliance audit planning, obligation mapping, testing approaches, evidence, reporting, managing regulator inspections and remediation tracking.

5 days Classroom or live online English

Smart Horizon Certified - Global Leadership Consultants

Take the course details with you.

Download the full standard outline: why attend, methodology, objectives, audience, competencies, the daily outline and current plans.

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Why attend

From knowledge to real-world impact.

Regulatory inspections can lead to fines if gaps are found. This course helps you identify and fix compliance gaps proactively.

Workplace challenges

Professional Problems This Course Is Designed to Solve

The programme explores practical approaches to the following challenges. Results depend on how the learning is applied in your organisation.

Difficulty translating subject knowledge into practical workplace decisions.
Inconsistent approaches to the activities covered in the course outline.
Lack of a structured plan for applying and reviewing new skills.

Course methodology

How you will learn.

The course uses obligation mapping exercises, testing workshops, inspection simulations and case studies.

Course objectives

What you'll take away.

By the end of this course, participants will be able to:

Plan risk-based compliance audits
Map regulatory obligations to controls
Test compliance and gather evidence
Report compliance findings
Prepare for and manage regulatory inspections
Track remediation

Target audience

Who should attend.

This course is suitable for:

Compliance officers
Internal auditors
Quality and regulatory affairs professionals
Risk managers
Operations managers in regulated sectors

Target competencies

Capabilities you will build.

Participants will develop competencies in:

Compliance audit planning
Obligation mapping
Compliance testing
Evidence management
Inspection readiness
Remediation tracking

Course outline

Your learning journey.

A focused, practical outline with time to explore, apply and reflect.

Day 1Compliance Auditing

09:00–09:54Purpose and scope
09:54–10:48Regulatory landscape
10:48–11:00Risk-based planning
11:00–11:30Coffee break
11:30–12:12Risk-based planning (continued)
12:12–13:06Roles
13:06–14:00Exercise: Audit universe

Day 2Obligation Mapping

09:00–09:54Identifying obligations
09:54–10:48Mapping controls
10:48–11:00Gap analysis
11:00–11:30Coffee break
11:30–12:12Gap analysis (continued)
12:12–13:06Prioritisation
13:06–14:00Workshop: Obligation register

Day 3Testing and Evidence

09:00–09:54Testing approaches
09:54–10:48Sampling
10:48–11:00Evidence
11:00–11:30Coffee break
11:30–12:12Evidence (continued)
12:12–13:06Documentation
13:06–14:00Exercise: Compliance testing

Day 4Regulatory Inspections

09:00–09:54Inspection preparation
09:54–10:48Managing inspectors
10:48–11:00Document requests
11:00–11:30Coffee break
11:30–12:12Document requests (continued)
12:12–13:06Responding to findings
13:06–14:00Simulation: Regulatory inspection

Day 5Reporting and Remediation

09:00–09:54Reporting
09:54–10:48Root causes
10:48–11:00Action tracking
11:00–11:30Coffee break
11:30–12:12Action tracking (continued)
12:12–13:06Continuous monitoring
13:06–14:00Capstone: Compliance audit plan

The timings provided are estimates and may vary depending on the number of participants and the discussions taking place during the sessions. They are indicative only and do not constitute a binding commitment.

Dates & venues

Find a session that works for you.

Confirmed dates accept registration requests. Tentative dates are enquiry only.

Good to know

A few things to know.

How is the course delivered?

Our classroom programmes combine facilitated discussion, case studies, exercises and reflection. The precise format will be confirmed before enrolment.

Can you deliver this programme for our team?

Yes, you can enquire about a tailored programme. Share your goals, group size and preferred dates with our learning team.

Will I receive a certificate?

Participants who complete the programme receive a Smart Horizon UK certificate of attendance. Smart Horizon UK programmes are not externally accredited and do not award a professional qualification, licence or designation. Where a course title or outline refers to a professional certification (for example, AACE International's Certified Cost Professional), the programme supports learning and preparation only; the credential itself is awarded solely by the relevant professional body under its own application and examination requirements.

What should I confirm before booking travel?

Please confirm the session, exact venue, accessibility arrangements, fees and any visa requirements with the team before arranging travel. Tentative dates are not confirmed sessions.

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