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Auditing and Monitoring: Ensuring Compliance Effectiveness - Compliance audits, internal investigations Compliance practitioners should possess auditing skills, data analysis capabilities, and a solid understanding Integration of Lean Principles: In addition to the traditional skills, compliance practitioners can benefit workflows for common compliance activities, such as conducting risk assessments or performing compliance audits

Approach over Disparate Activities Outcomes over Check-Box Compliance Continuous Improvement over Audit-Fix This may result in the need for a variation of auditing techniques, therefore witnessed assessments may Without a finding from an audit some companies will not invest in changes no matter how good they might

As a compliance engineer, I've noticed a common misconception: that compliance is primarily about audits It's not just about checking boxes or passing audits - it's about building a system that supports operational

To accomplish this, the MOC process touches almost every aspect of an organization which provides additional functional teams to work together on changes a place for all information about each change to be stored an audit

The problem is, many still see compliance as an after-the-fact audit function, solely focused on legal

Operational Compliance” they often think of it in the same way as “Operational Risk” - a siloed function to audit

However, many organizations are caught in a prescriptive, reactive, and reductive trap where audits,

This will, of course, be verified by internal and external audits. Organizations might be in compliance today or at the time of their last audit.

introduced by old-factory thinking, reactive behaviours, and traditional training, inspection, and audits

Compliance often imagines non-conformance or audit findings as low hanging fruit or more specifically We look for them using audits, we pick them from the ground and take corrective action to pick them from rather than all commitments Relying on best efforts rather than best results Focusing on Inspection / auditing

one standard, Operations follows different procedures, HR trains to yet another protocol, and Quality audits This creates obvious waste—multiple audit schedules, overlapping training requirements, redundant documentation They can produce impressive metrics about training completion rates, audit findings closure, and policy

number of compliance issues open The number of hours of training per employee The number of internal audits completed on-time The percentage of outstanding post-audit issues The number of complaints And so on As a result, companies have become experts (or now require hiring them) to support the business of auditing They have created the equivalent of an America's Cup yacht optimized for one purpose - winning the audit The compliance function is now so optimized around passing audits that it is unable to adapt to changes