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Executive Education
Clariden Leadership Institute
Internal Control, Monitoring and Risk Management for Compliance Professionals (Sydney)
Jason Mefford
Mefford Associates

This program has been independently accredited and certified by CPD
Jason Mefford, Mefford Associates

Jason Mefford is an internationally acclaimed speaker and business coach as well as the best-selling author of “Risk-Based Internal Auditing: OCEG GRC Capability Model v3.0” and has appeared on ABC, CBS, NBC, and FOX television networks. He is an expert in ethics, corporate governance, risk management, compliance, GRC and internal audit. He is also the President of Mefford Associates, a boutique training, coaching and consulting company.

 

Jason has been recognized by Yale University as a rising star in corporate governance, and was a finalist for the Corporate Secretary Magazine, Corporate Governance Award. He also hold various professional accreditations such as Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Governance, Risk Management and Compliance Professional (GRCP), GRC Auditor (GRCA), Certified Risk Based Auditor (CRBA), Certificate in Risk Management Assurance (CRMA), Certified Government Auditing Professional (GRCP) and Certified Internal Controls Auditor (CICA).

 

He has been the Chief Audit Executive at two different multi-billion dollar manufacturing companies. His role includes being in charge of information security and the Chief Ethics and Compliance Officer and Chief Risk Officer. Prior to that, he was a manager and national instructor at both Arthur Andersen and KPMG, performing internal and external audits and advisory services for clients from various industries.

 

He is a member of the Institute of Internal Auditors (IIA) and has been an active IIA volunteer serving at the both local and international level. He is currently an OCEG Fellow with the Open Compliance and Ethics Group (OCEG), a nonprofit think tank that uniquely helps organizations drive Principled Performance by enhancing corporate culture and integrating governance, risk management, and compliance processes. He is also the Director of Training for OCEG, and the Managing Director of GRC Certify, the certification body for OCEG.

 

Jason has experience in training organizations from all over the world in governance, risk management, compliance, internal controls and internal audit topics which includes manufacturing, food, agribusiness, financial services, retail, healthcare, government, technology, oil & gas, real estate and construction companies.

This course has been independently certified as conforming to universally accepted CPD guidelines. On average, this executive program contributes 16 hours towards your CPD.

Program Summary

This comprehensive executive program is designed to help compliance professionals effectively identify the major risks threatening the organization, how to deal with the risks to attain corporate goals and leverage on these inputs to develop a practical risk based internal control process. This session offers an interactive framework to help you identify, assess, evaluate, mitigate and monitor risks; which are crucial fundamentals for an organization. Learn how reduce organization’s compliance exposure with the latest framework and compliance guidance for your organization. At the end of the 2-day program, you will be able to effectively implement an effective compliance program through appropriate planning and have a greater understanding of internal controls assessment, objectives and strategies that can assist you tremendously in decision making.



Programs, dates and locations are subject to change. In accordance with Clariden Global policy, we do not discriminate against any person on the basis of race, color, sex, religion, age, national or disability in admission to our programs.

Introduction

Internal controls play an integral role in an organization’s success. Hence, management need to prioritize their compliance practice by using a risk-based approach in handling exposures and applying internal controls. By ascertaining the appropriate use of internal controls, it helps to reduce compliance exposures and ensure your organization is managing the exposures within the decision-making criteria determined by the board of directors and regulators. You will also learn how to design and implement internal controls with COSO Internal Control Framework, OCEG GRC Capability Model and how to apply international compliance program guidance from the Federal Sentencing Guidelines for Organizations (FSGO) and ISO 19600:2014.

 

The Internal Control, Monitoring and Risk Management for Compliance Professionals program led by internationally acclaimed audit trainer, Mr Jason Mefford, will bring you a complete guide on how to take a risk-based approach and use internal controls to ensure your compliance framework is effective and efficient. The program is designed with different interactive group learning activities to guide you through from the building blocks on basics of risk management, how to identify, assess, evaluate, mitigate and monitor risks, to risk management principles in performing risk based audits.

 

Through lectures and practical group interactions, discussions, and exercises, you will develop the skills necessary to effectively assess and implement an ideal internal control process in your organization.

What You Can Expect

  • Align your compliance framework to achieve organizational objectives 
  • Learn the COSO Internal Control Framework and OCEG GRC Capability Model to design and implement sound internal control processes 
  • Change and prioritize internal control processes to a risk-based approach in handling exposures and applying internal controls to evaluate KPI 
  • Develop and implement a risk-based approach and use internal controls to ensure your compliance program is effective and efficient 
  • Manage the risk exposures within the decision-making criteria set by board of directors and regulators to achieve corporate buy-in 
  • Improve risk assessment and avoid weak internal controls that does not address the organization’s objectives 
  • Identify and select the optimal internal control processes to identify the risks to your organization and effectively mitigate it.

Who Will Benefit Most

This program is designed for but not limited to Directors, GMs, VPs, Chief Financial Officer (CFO), Chief Internal Auditor (CIA), Chief Audit Executive (CAE), Chief Risk Officer (CRO), Senior Managers, Managers, Auditors, Accountants and Consultants who want to identify and manage the risks that threatening the attainment of their organisation's objectives through risk management and analysis, audit control, fraud prevention, and legal corporate governance.

Program Outline

08:30 – 17:00 / Day 1

 

Session 1: Why We Do Compliance and How it Helps Organizations Achieve Objectives 

  • The “Big Picture” of business 
  • Mandatory and voluntary compliance items 
  • Understanding the relationship between performance, risk and compliance 
  • Forces, events and impacts on meeting objectives

Session 2: Assessing and Responding to Risks and Exposures 

  • The basics of risk management 
  • Identifying opportunities, threats and requirements 
  • Assessing reward, risk and compliance 
  • Measuring risk 
  • Appetite, tolerance & capacity 
  • Responding to risks: (Terminate, Tolerate, Treat, or Transfer)

Session 3: Internal Controls 

  • The basics of internal controls 
  • Using internal controls to reduce likelihood or impact of events 
  • Proactive, Detective and Responsive Internal Controls

Session 4: The COSO Internal Control Framework - 2013 

  • The COSO Internal Control Framework – 2013 
  • 5 elements of internal controls 
  • 17 principles of internal controls

 

08:30 – 17:00 / Day 2

 

Session 5: Implementing Internal Controls 

  • Types of internal controls 
  • Determining the best type of internal control to reduce exposure 
  • A risk-based approach to internal controls

Session 6: Risk Standards and Relationship with Other Functions 

  • Risk standards: (ISO 31000, COSO ERM, OCEG GRC Capability Framework) 
  • Relationship between risk management and compliance 
  • Relationship between internal audit and compliance

Session 7: The Minimum Requirements for an Effective Compliance Program 

  • International requirements for compliance programs 
  • The Federal Sentencing Guidelines for Organizations (FSGO) 
  • ISO 19600:2014 
  • The elements of an effective compliance program

Session 8: Performing a Compliance Assessment 

  • Determining the highest compliance exposures to your organization  
  • Determining inherent and residual exposure levels 
  • Creating a response plan to exposures

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Venue: InterContinental Sydney, Australia
Date: 11 - 12 May 2017
Faculty: Jason Mefford
Early Bird 1: AU$ 2,695 (by 13 Mar 2017)
Early Bird 2: AU$ 2,895 (by 10 Apr 2017)
Regular Fee: AU$ 2,995
Group Discount: 2nd participant get 10%, or register 3 participants and 4th participant get a complimentary seat
(1 discount scheme applies)
Contact: gwen@claridenglobal.org
 
 
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