Compliance Audit Checklist

Length: 1 page | Format: PDF

Compliance audits systematically examine an organisation's activities to determine whether they meet all applicable legal requirements and corporate policies.

Audit reports are produced detailing the strength of compliance preparations, security policies, risk management procedures, and user access controls.

Here we explain the key steps to completing a compliance audit to identify any gaps in compliance and suggest corrective actions.


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Compliance Audit Checklist

Understand the key steps...

  1. Decide who will conduct the audit
  2. Establish the scope of the audit
  3. Review policies & procedures
  4. Review training
  5. Review record keeping
  6. Review controls
  7. Conduct a risk assessment
  8. Analyze & report audit results
  9. Identify & implement corrective actions
  10. Schedule regular monitoring

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