Why This Course?

Compliance auditing will remain and continue to be an important aspect of most corporate assurance function. As there are more changes taking place to the existing laws and regulations, guidelines and a myriad of internal corporate policies and procedures confronting both the public and private sectors, internal auditors and compliance professionals must strengthen their skills and competencies and devise new approaches to better render their assurance services.


This course is specifically designed to help the assurance function with compliance review responsibility to improve their line of sights and focus on risk and control compliance matters in the operations. Equally important is the ability to construct report that articulates compliance related issues with sound judgement and recommendation to the management to improve the governance, risk management and control practices.

Learning Outcomes

Understand the common and emerging auditing approach to conduct compliance audit

Appreciate the role and benefits of internal control system in mitigating risk of non-compliance

Devise auditing steps and programs to better uncover and address compliance issues

Acquire the ‘real focus’ on compliance review

Understand the level of skills and competency needed to undertake compliance assignment

Analyse and choose the best suited compliance reporting format

Learn to construct Audit Observation / Finding using a systematic flow of thoughts and structure

Learn to ‘connect the dot’: Ability to articulate and relate compliance type of audit issues to key focus and risks of the business to convince management

Improve skills in summarizing key compliance related audit issues for Executive Summary reporting


Overview on Good Governance and the 3 Lines of Defence in Risk Management

Types of Compliance Auditing

Expectations of Results from Compliance Review: Auditors’ perspective & Board and Management’s perspective

Challenges in Performing Compliance Auditing

Requirements/ Fundamentals for Good Compliance Practices

Skills and Competency for Better Compliance Audit Performance and Results

Appreciating COSO Internal Control Model

Compliance Risk Assessment: Learn to Prioritize

Compliance Auditing Focus: The Crucial Delivery Point to Management

Compliance Auditing Process: End-to-end Review Activities

Dealing with Non-Compliance Issues

Reporting Format and Style

Value Adding Factors to Sustain Management Compliance


IntroductoryPrice Plan

On-Demand Animated Learning


  • Animated videos (Special link to access)
  • Reading materials (pre-course)
  • Learning reinforcement for individual modules
  • Quizzes and tests (post-course)
  • FOC LIVE Q&A session with the trainer (post-course) 
  • Summary report for quizzes and tests (post-course)
  • Course completion certificate
Individual: RM

Live Webinar


  • Live Webinar session (including case studies and Q&A session)
  • Reading materials (pre-course)
  • Learning reinforcement for individual modules
  • Quizzes and tests (post-course)
  • Summary report for quizzes and tests (post-course)
  • Course completion certification

*There will be short breaks and lunch allocated at appropriate intervals

Individual: RM



  • Face-to-face learning (including case studies and Q&A session)
  • Reading materials
  • Learning reinforcement for individual modules
  • Quizzes and Tests 
  • Summary report for quizzes and tests (post-course)
  • Course completion certificate

Individual: RM

Individual RM RM RM
Group Price Structure
No. of Participants Fee Per Participants
(On-Demand Animated Learning)
Fee Per Participants
(Live Webinar)
Fee Per Participants (Classroom)

For groups more than 20 person, please email us at hello.learninghub@centegy.com.my

Trainer's Profile

Steven Yee is a professional member of the IIA (Institution of Internal Audit) Malaysia and MICPA (Malaysian Institute of Certified Public Accountants). He obtained his professional training in the Assurance and Business Advisory unit of PwC Malaysia from 1993–2003. He is the founder and Managing Director in Centegy Governance Consulting Group, a boutique consulting firm that provides a range of Governance, Risk & Control (GRC) Assurance services to corporations in the ASEAN region.

Steven has headed various IA, Risk and Compliance functions in different industries with reporting lines to Board Audit & Risk Management Committees and CEOs over the past 15 years. Through his practical experience and passion, he brings an appreciation of the disciplined approach and innovation required to deliver consistent and insightful assurance results to the clients. Steven is also a seasoned and enthusiastic trainer on GRC related subjects in the region and is a panel trainer with the IIA Malaysia since 2005.

Related Courses

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Changing Needs for Compliance Auditing: Improving Technique, Skills and Reporting Style for Better Results and Assurance

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    Malayan Banking Berhad (3813-K)

    Ground Floor, Wisma Sime Darby, Jalan Raja Laut

    50350 Kuala Lumpur, Malaysia (SWIFT CODE: MBBEMYKL)

    Bank a/c no: 5142 9913 1738 (Centegy Governance Advisory Sdn Bhd) 


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    The organiser reserves the right to make any amendments that it deems to be in the interest of the event without any notice.