July 27, 2023
FS Vector Office Hours: How to Achieve a Successful Compliance Audit
Overview
FS Vector’s Dana Antenucci, Ethan Singleton, and Max Sherman hosted an interactive office hours session for companies preparing for a compliance audit. The conversation covered five essential steps to ensure a successful audit process:
1. Select the right firm – Choose an assessment partner that understands your business model and industry.
2. Tailor the scope – Confirm the scope of work reflects your company’s specific compliance obligations.
3. Consider program maturity – Ensure the review accounts for the current stage of your compliance program’s development.
4. Prepare thoroughly – Engage stakeholders, gather documents, and compile supporting materials ahead of time.
5. Commit to remediation – Address and resolve issues identified during the review to strengthen compliance going forward.
The session also included practical best practices for independent assessments, offering attendees actionable guidance to navigate the audit process with confidence.
Presenters
July 27, 2023
FS Vector Office Hours: How to Achieve a Successful Compliance Audit
Overview
FS Vector’s Dana Antenucci, Ethan Singleton, and Max Sherman hosted an interactive office hours session for companies preparing for a compliance audit. The conversation covered five essential steps to ensure a successful audit process:
1. Select the right firm – Choose an assessment partner that understands your business model and industry.
2. Tailor the scope – Confirm the scope of work reflects your company’s specific compliance obligations.
3. Consider program maturity – Ensure the review accounts for the current stage of your compliance program’s development.
4. Prepare thoroughly – Engage stakeholders, gather documents, and compile supporting materials ahead of time.
5. Commit to remediation – Address and resolve issues identified during the review to strengthen compliance going forward.
The session also included practical best practices for independent assessments, offering attendees actionable guidance to navigate the audit process with confidence.