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Optimize, audit and certify compliance management
Implementation control - certification readiness
Contents
Monitoring, analysis and evaluation
- Operational planning and control CMS.
- Documentation of a CMS.
- Development of controls and procedures; monitoring and evaluation (performance evaluation) of the compliance management system ("lines of defense").
- Requirements for the evaluation of a compliance management system (CMS).
- Supervision and monitoring of the compliance management system (CMS).
- Measurement, analysis and evaluation of the compliance management system (CMS).
- Feedback sources on compliance performance, development of indicators.
- Carrying out management reviews and internal audits.
- Effectiveness control.
- Compliance reporting.
- Implementation of a continuous improvement cycle.
Audit, review and preparation for certification
- Prepare and conduct an internal audit.
- Organize and implement system review, system evaluation.
- Prepare the external certification audit and its support professionally.
Certification and implementation
- Measuring the maturity of the compliance management system.
- Pass the external certification audit.
- Introduce management and system reviews and assessments.
Learning environment
In your online learning environment, you will find useful information, downloads and extra services for this training course once you have registered.
Your benefit
This advanced seminar will provide you with expert knowledge for the preparation, support and implementation of the assessment, audit and certification of a compliance management system.
Learn from the expert:
- How to measure, analyze and evaluate a compliance management system.
- What you need to effectively monitor a compliance management system.
- Why it is important to monitor the effectiveness of the CMS.
- Which regulatory requirements must be observed if you want to use AI applications for efficacy monitoring
- How to prepare and conduct an internal audit.
- How you can measure the maturity of your compliance management system.
- What is important in order to optimally prepare for and accompany an external certification audit.
- How you can prove your existing CMS in any proceedings in order to use this to reduce the penalty if necessary.
The training is also part of the training to become a Compliance Officer/Compliance Manager, which enables already installed "Compliance Officers" to prepare their company from the implementation of a CM system to certification maturity and to continue to accompany them afterwards.
Methods
Trainer input, case/best-practice examples, discussion, exchange of experience, work aids, checklists. You will receive direct feedback that will help you move forward.
Recommended for
Compliance officers, compliance officers who are already employed in companies - regardless of their basic traininglawyers, business economists, etc.). Visitors to the seminars "Designing and establishing legally compliant compliance management" and/or "Successfully implementing compliance management in the company", managers, managing directors, (junior) managers, tax consultants, auditors, (commercial) lawyers and compliance officers who need practical knowledge from compliance experts .
Participation in "Designing and establishing legally compliant compliance management" and/or "Successfully implementing compliance management in the company" is desirable, but not a prerequisite.
Questions about the seminar content
Many companies already have a compliance management system in place, but face the challenge of regularly reviewing its effectiveness. This training you training a sound understanding of the key tasks involved in monitoring and evaluation. You will learn which methods can be used to check the functionality of a CMS. At the same time, you will learn which criteria play a role in evaluating a system. This will give you a better understanding of how compliance structures in a company can be continuously monitored and improved.
Auditing a compliance system follows certain methodological and organizational requirements. In training , you training which fundamentals are relevant for auditing a compliance management system and which aspects are considered during an audit. At the same time, you will learn about the role that structured audit procedures play in evaluating a system. This will enable you to better understand and support audit processes in the area of compliance.
During training , you training practical insights into the review and evaluation of compliance management systems. At the same time, you will learn how the methods developed can be applied to specific situations in everyday business life. This will enable you to directly apply new insights to your professional practice.
An effective compliance system is based on clear control and monitoring mechanisms. In training , you training how important such mechanisms are for the functionality of a system. At the same time, you will learn how controls can be integrated into organizational processes. This will give you a better understanding of how compliance structures are secured within a company.
The analysis of a compliance system often provides clues as to possible optimizations. In training , you training insights into typical weaknesses and challenges within compliance structures. At the same time, you will learn how to use the results of audits to derive improvement measures. This will give you ideas for the further development of a compliance management system.
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Further recommendations for "Optimize, audit and certify compliance management"
Further recommendations for "Optimize, audit and certify compliance management"
Start dates and details
Tuesday, 31.03.2026
09:00 am - 5:00 pm
Tuesday, 19.05.2026
09:00 am - 5:00 pm
Tuesday, 02.06.2026
09:00 am - 5:00 pm
- one joint lunch per full seminar day,
- Catering during breaks and
- extensive working documents.
Tuesday, 04.08.2026
09:00 am - 5:00 pm
- one joint lunch per full seminar day,
- Catering during breaks and
- extensive working documents.
Wednesday, 02.09.2026
09:00 am - 5:00 pm
Monday, 30.11.2026
09:00 am - 5:00 pm
- one joint lunch per full seminar day,
- Catering during breaks and
- extensive working documents.
Friday, 12.02.2027
09:00 am - 5:00 pm
- one joint lunch per full seminar day,
- Catering during breaks and
- extensive working documents.

