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Building and Operating a Compliance Program·Lesson 29 of 30·12 min

Internal Audit, Monitoring, and Continuous Improvement

This lesson is for enrolled learners

The concept A compliance program closes its loop with independent testing — the mechanism that confirms the controls built across this course actually work as documented, not just as designed on paper. Understanding how independent testing functions requires separating two distinct activities that are easy to conflate: First-line monitoring is the compliance team checking its own controls day to day……

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