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Elements and Performance Criteria

1. Plan internal compliance audit/review
   • Assess the business activity and/or information from stakeholders to inform the scope and objectives of the audit/review.
   • Define scope and objectives of audit/review.
   • Design the compliance audit/review, including method, roles and responsibilities.
   • Evaluate audit/review plan to ensure it meets objectives and jurisdictional expectations.
   • Identify potential sources of information/intelligence to inform audit/review.
2. Conduct internal compliance audit/review
   • Communicate the objectives, scope, roles and responsibilities of the audit/review to audit/review team and stakeholders.
   • Collect information/intelligence to facilitate audit/review.
   • Analyse information collected to determine its relevance as audit/review evidence.
   • Analyse audit/review evidence to identify levels of compliance and areas for improvement.
   • Develop preliminary audit/review findings and recommendations through evaluation of audit/review evidence.
3. Monitor internal compliance audit/review
   • Monitor the progress of the audit/review to determine whether any adjustments are required.
   • Conduct environmental scans to ensure contemporary nature and validity of audit/review.
   • Monitor the integrity of the audit/review to ensure audit/review outcomes are reached.
   • Manage audit/review progress in line with governance and accountability requirements.
4. Conclude internal compliance audit/review
   • Evaluate preliminary audit/review findings and recommendations to determine how and what should be communicated to stakeholders.
   • Assess findings and develop recommendations to ensure compliance/improvements.
   • Review own performance throughout the audit/review process using stakeholder feedback.
   • Assess the audit/review process to inform future practice.
5. Plan internal compliance audit/review
   • Assess the business activity and/or information from stakeholders to inform the scope and objectives of the audit/review.
   • Define scope and objectives of audit/review.
   • Design the compliance audit/review, including method, roles and responsibilities.
   • Evaluate audit/review plan to ensure it meets objectives and jurisdictional expectations.
   • Identify potential sources of information/intelligence to inform audit/review.
6. Conduct internal compliance audit/review
   • Communicate the objectives, scope, roles and responsibilities of the audit/review to audit/review team and stakeholders.
   • Collect information/intelligence to facilitate audit/review.
   • Analyse information collected to determine its relevance as audit/review evidence.
   • Analyse audit/review evidence to identify levels of compliance and areas for improvement.
   • Develop preliminary audit/review findings and recommendations through evaluation of audit/review evidence.
7. Monitor internal compliance audit/review
   • Monitor the progress of the audit/review to determine whether any adjustments are required.
   • Conduct environmental scans to ensure contemporary nature and validity of audit/review.
   • Monitor the integrity of the audit/review to ensure audit/review outcomes are reached.
   • Manage audit/review progress in line with governance and accountability requirements.
8. Conclude internal compliance audit/review
   • Evaluate preliminary audit/review findings and recommendations to determine how and what should be communicated to stakeholders.
   • Assess findings and develop recommendations to ensure compliance/improvements.
   • Review own performance throughout the audit/review process using stakeholder feedback.
   • Assess the audit/review process to inform future practice.

Performance Evidence

Evidence required to demonstrate competence must satisfy all of the requirements of the elements and performance criteria. If not otherwise specified the candidate must demonstrate evidence of performance of the following on at least one occasion.

designing internal compliance audits/reviews, including scope, objectives, method, roles and responsibilities

communicating information to stakeholders

collecting, analysing and evaluating information relating to audits/reviews

scanning and monitoring information to make adjustments to audit/review and develop preliminary findings

managing audit process to ensure outcomes are reached

adhering to jurisdictional governance and accountability requirements

identifying efficiencies and effectiveness of processes in line with jurisdictional requirements

evaluating preliminary findings to determine communication requirements

composing audit/review findings

reviewing own performance and audit/review process for continuous improvement purposes

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Knowledge Evidence

Evidence required to demonstrate competence must satisfy all of the requirements of the elements and performance criteria. If not otherwise specified the depth of knowledge demonstrated must be appropriate to the job context of the candidate.

current legislation, policies, standards and procedures relating to audits

jurisdictional processes relating to internal investigation, internal business, and change management processes

jurisdictional business continuity requirements and continuous improvement practices

audit methodologies, including desk top audits and compliance auditing processes

risk management frameworks

organisational structure (including chain of command, domains of practice, functional areas)

external accountability practices (including anti-corruption agencies)

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