ISO 19600: Compliance Management System Auditing in Financial Services

Introduction to Compliance Management Systems (CMS)

• Overview of ISO 19600: Scope, principles, and relevance to financial services.
• Compliance Frameworks: Regulatory, internal policies, and industry best practices.
• Key Stakeholders: Compliance officers, auditors, management, and regulators.

ISO 19600 Principles and Requirements

• Structure of a Compliance Management System: Leadership, planning, support, operations, performance evaluation, and improvement.
• Governance and Leadership Responsibilities: Roles, accountability, and compliance culture.
• Risk-Based Approach: Identifying, assessing, and mitigating compliance risks.

Compliance Auditing Fundamentals

• Purpose and Scope of Compliance Audits: Regulatory adherence, internal control assessment, and improvement identification.
• Audit Planning and Preparation: Risk assessment, audit objectives, and audit scope.
• Audit Techniques: Interviews, document review, sampling, and observation.

Conducting Compliance Audits

• Audit Execution: Collecting evidence, testing controls, and assessing processes.
• Audit Reporting: Findings, recommendations, and corrective action plans.
• Follow-Up and Continuous Improvement: Tracking implementation and evaluating effectiveness.

Tools and Techniques for Effective Auditing

• Audit Checklists and Templates: Structuring audits efficiently.
• Risk Assessment Matrices: Evaluating compliance gaps and prioritizing actions.
• Technology in Compliance Auditing: Software tools, dashboards, and reporting systems.

1ST BATCH: Tuesday, January 13, 2026 — Friday, January 16, 2026.

2ND BATCH: Tuesday, May 5, 2026 — Friday, May 8, 2026.

3RD BATCH: Tuesday, September 1, 2026 — Friday, September 4, 2026.

The training methodology integrates lectures, interactive discussions, collaborative group exercises, and
illustrative examples. Participants will acquire a blend of theoretical insights and hands-on practical
experience, emphasizing the application of learned techniques. This approach ensures that attendees return
to their professional environments equipped with both the competence and self-assurance to effectively
implement the acquired skills in their responsibilities.