Auditing and Governance Risk and Compliance

Auditing Governance and Ethics

Internal audit standards require auditors to assess governance and ethics, not just financial controls. This course covers auditing governance processes, board and committee effectiveness, ethics programmes, codes of conduct, conflicts of interest, speak-up arrangements and organisational culture.

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.

Download course PDF

Why attend

From knowledge to real-world impact.

Governance and culture weaknesses lie behind many major failures. You will learn how to audit these sensitive areas credibly.

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.

Audit planning workshops, culture assessment methods, case studies and interview practice.

Course objectives

What you'll take away.

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

Explain internal audit’s role in governance
Audit governance structures and processes
Evaluate ethics and compliance programmes
Test conflicts of interest and gifts controls
Assess speak-up arrangements
Use culture indicators in audits

Target audience

Who should attend.

This course is suitable for:

Internal auditors
Audit managers
Ethics and compliance officers
Governance professionals
Audit committee members

Target competencies

Capabilities you will build.

Participants will develop competencies in:

Governance auditing
Ethics programme evaluation
Culture assessment
Sensitive interviewing
Reporting

Course outline

Your learning journey.

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

Day 1Governance Auditing

09:00–10:08Standards
10:08–11:00Scope
11:00–11:30Coffee break
11:30–11:45Scope (continued)
11:45–12:53Challenges
12:53–14:00Exercise

Day 2Governance Processes

09:00–10:08Boards and committees
10:08–11:00Decision processes
11:00–11:30Coffee break
11:30–11:45Decision processes (continued)
11:45–12:53Reporting
12:53–14:00Workshop

Day 3Ethics Programmes

09:00–10:08Codes and training
10:08–11:00Conflicts of interest
11:00–11:30Coffee break
11:30–11:45Conflicts of interest (continued)
11:45–12:53Gifts
12:53–14:00Exercise

Day 4Speak-Up and Culture

09:00–10:08Whistleblowing channels
10:08–11:00Culture indicators
11:00–11:30Coffee break
11:30–11:45Culture indicators (continued)
11:45–12:53Interviews
12:53–14:00Case study

Day 5Reporting

09:00–10:08Sensitive findings
10:08–11:00Board communication
11:00–11:30Coffee break
11:30–11:45Board communication (continued)
11:45–12:53Follow-up
12:53–14:00Action 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 certificate of attendance. Smart Horizon 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.

Keep exploring

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