RCM College Committed to Excellence in Education
Login Join Now

Governance and Compliance Audit

The Governance and Compliance Audit course equips learners with the ability to evaluate corporate policies, regulatory compliance, and ethical standards within an organization. It covers frameworks for conducting governance audits, assessing risks, and ensuring legal and procedural compliance.

 

By the end of the course, participants will be able to perform governance and compliance audits, enhance corporate accountability, and drive sustainable business practices.

 

Enroll Today!

 

Advance your career in governance and compliance auditing with RCM Online College. Register today by visiting our website, emailing [email protected], or calling +254719525000. Take the next step in professional growth with expert training from RCM Online College!

  • Sit Governance and Compliance Audit with a clear exam plan
  • Work through recent-style questions with marking schemes
  • Download notes and recordings for offline study

Syllabus

  1. 1 MAY-AUGUST 2026 GCA Lesson
  2. 2 SEPT-DEC 2026 Lesson
  3. 3 LIVE ZOOM LINK Lesson
  4. 4 JAN-APRIL 2026 Lesson
  5. 5 SEPT-DEC 2025 Lesson
  6. 6 MAY-AUG 2025 Lesson
  7. 7 JAN TO APRIL 2024 VIDEOS Lesson
  8. 8 1. Basics concepts and elements in auditing Lesson
  9. 9 1.1 Auditing Topic
  10. 10 1.2 Assessment Topic
  11. 11 1.3 Monitoring Topic
  12. 12 1.4 Assurance engagement Topic
  13. 13 1.5 Non assurance engagement Topic
  14. 14 1.6 Reasonable assurance Topic
  15. 15 1.7 Limited assurance Topic
  16. 16 1.8 Direct reporting engagement Topic
  17. 17 1.9 Attestation engagement Topic
  18. 18 1.10 Compilation engagements Topic
  19. 19 1.11 Assurance reports Topic
  20. 20 1.12 Direct reporting Topic
  21. 21 1.13 Authorities and criteria Topic
  22. 22 1.14 Assertions and audit Topic
  23. 23 1.15 Internal audit Topic
  24. 24 1.16 Statutory audit Topic
  25. 25 1.17 Legal audits Topic
  26. 26 1.18 Governance audit Topic
  27. 27 2. Governance and compliance risks Lesson
  28. 28 2.1 Identify, managing and monitoring governance and compliance risks Topic
  29. 29 2.2 Impact of non compliance: Legal impact, Business impact, Reputation impact Topic
  30. 30 2.3 Role of ethics and compliance officers Topic
  31. 31 2.4 Identify, prioritise, and assign accountability for managing existing or potential threats related to non compliance or ethical misconduct Topic
  32. 32 2.5 Identify laws and regulations with which the organisation is required to comply in all jurisdiction where it conducts businee, as well as critical organisational policies Topic
  33. 33 3. Introduction to governance and compliance audit Lesson
  34. 34 3.1 General principles of governance of governance and compliance audit Topic
  35. 35 3.2 The nature and purpose of governance audit Topic
  36. 36 3.3 The nature and purpose of compliance audit Topic
  37. 37 3.4 Types and timing of governance and compliance audits Topic
  38. 38 3.5 Users of governance and compliance audit information and their respective needs Topic
  39. 39 3.6 Qualities of good governance and compliance audit Topic
  40. 40 3.7 The challenges of governance and compliance Auditing Topic
  41. 41 3.8 Governance and compliance audit in the digital era Topic
  42. 42 4. Legal, regulatory and professional and ethical considerations Lesson
  43. 43 4.1 Legal requirements on governance and compliance audit for different types of legal entities Topic
  44. 44 4.2 Codes of governance as issued by ICS and different industry regulations Topic
  45. 45 4.3 Regulatory framework of governance and compliance audit industry regulators Topic
  46. 46 4.4 Governance and compliance audit standards by ICS Topic
  47. 47 4.5 Code of ethics for certified Secretaries Topic
  48. 48 4.6 Auditors’ authority, professional liability and legal responsibilities Topic
  49. 49 4.7 Professional objectivity, professional skepticism and professional judgement Topic
  50. 50 4.8 The role of ICS in governance and compliance auditing Topic
  51. 51 4.9 Ethics & integrity as a compliance issue Topic
  52. 52 5. Engagement and appointment Lesson
  53. 53 5.1 Designing terms of reference Topic
  54. 54 5.2 Designing scope of work and request for proposal Topic
  55. 55 5.3 Tendering and procuring audit services Topic
  56. 56 5.4 Designing proposal Topic
  57. 57 5.5 Qualification requirements Topic
  58. 58 5.6 Negotiating fees amount, structure and timelines Topic
  59. 59 5.7 Acceptance and professional appointments Topic
  60. 60 5.8 Awards and execution of contract Topic
  61. 61 5.9 Inception report Topic
  62. 62 6. Planning for a governance and compliance audit Lesson
  63. 63 6.1 Initial consideration for planning Topic
  64. 64 6.2 Planning process with timeliness Topic
  65. 65 6.3 Materiality at planning stage Topic
  66. 66 6.4 Determine audit objective and scope Topic
  67. 67 6.5 Determine the key governance and compliance parameters Topic
  68. 68 6.6 Determining the levels of assurance Topic
  69. 69 6.7 Identifying subject matter and criteria Topic
  70. 70 6.8 Understanding the entity and its environment Topic
  71. 71 6.9 Developing audit strategy Topic
  72. 72 6.10 Assessing audit risk, threats and safeguards Topic
  73. 73 6.11 Developing audit plan, programme and procedures Topic
  74. 74 6.12 Preparation of audit working papers Topic
  75. 75 6.13 Developing governance compliance matrix Topic
  76. 76 6.14 Governance and compliance audit checklist Topic
  77. 77 6.15 Quality control Topic
  78. 78 7. Documentation and communication Lesson
  79. 79 7.1 Documentation in governance and compliance audit Topic
  80. 80 7.2 Communication between auditor and client organisation Topic
  81. 81 8. Conduct of governance and compliance audit Lesson
  82. 82 8.1 Inception meeting for clarification and /or understanding of key contact persons, scope, process ,timeliness, schedule, logistics, operating environment and areas of emphasis Topic
  83. 83 8.2 Reviewing the compliance , governance and internal control systems Topic
  84. 84 8.3 Group governance and compliance audits Topic
  85. 85 8.4 Assessing compliance with the Constitution, applicable laws, rules, regulations, international treaties, international agreements, codes of conduct and internal policies Topic
  86. 86 8.5 Coordination in the conduct of governance and compliance audit Topic
  87. 87 8.6 Role of in-house corporate secretary, internal auditor, external auditor, legal auditor, audit committee, regulatory oversight bodies and other governance assurance fuctions Topic
  88. 88 8.7 Process of governance and compliance audit Topic
  89. 89 8.8 The governance and compliance audit cycle Topic
  90. 90 8.9 Governance and compliance audit tools Topic
  91. 91 8.10 Use of technology Topic
  92. 92 8.11 Scoring methodology Topic
  93. 93 8.12 Data analysis Topic
  94. 94 9. Gathering audit evidence Lesson
  95. 95 9.1 Nature and source of audit evidence Topic
  96. 96 9.2 Types of audit evidence Topic
  97. 97 9.3 Evidence gathering techniques Topic
  98. 98 9.4 Data collection instruments Topic
  99. 99 9.5 Document checklists/list of documents to be provided by client for review by the auditor Topic
  100. 100 9.6 Literature review Topic
  101. 101 9.7 Questionnaire/survey or confidential discussions with select members of the board and senior management using a structured format Topic
  102. 102 9.8 Site visits Topic
  103. 103 9.9 Limitations in gathering audit evidence Topic
  104. 104 9.10 Types of audit tests Topic
  105. 105 9.11 Audit sampling Topic
  106. 106 9.12 Using the work of experts Topic
  107. 107 9.13 Using reports of board evaluation and other internal governance assessments Topic
  108. 108 9.14 Methods and techniques of auditing high risk areas Topic
  109. 109 9.15 Data analysis Topic
  110. 110 9.16 Evaluating of evidence and forming conclusions Topic
  111. 111 10. Reporting governance and compliance audit Lesson
  112. 112 10.1 Purpose and users of auditor’s report Topic
  113. 113 10.2 Types, contents, elements and structures of auditors’ report Topic
  114. 114 10.3 Governance and compliance audit opinion Topic
  115. 115 10.4 Consequences of various audit reports and opinions Topic
  116. 116 10.5 Reporting of suspected unlawful and /or unethical acts Topic
  117. 117 10.6 Conclusions /opinions in governance and compliance audit Topic
  118. 118 10.7 Reports to those charged with governance Topic
  119. 119 10.8 Governance and compliance report on the annual report Topic
  120. 120 10.9 Interim, final and abridged versions of government and compliance reports Topic
  121. 121 10.10 Submission, presentation and /or filling of audit report Topic
  122. 122 10.11 Closure of the audit assignment Topic
  123. 123 10.12 Audit follow up Topic
  124. 124 11. Implementing audit recommendations Lesson
  125. 125 11.1 Implementation startegies Topic
  126. 126 11.2 Formulating an action plan and compliance matrix Topic
  127. 127 11.3 Role of the board in implementing the action plan Topic
  128. 128 11.4 Monitoring, evaluating, tracking progress and embedding recommendations/decisions arising from the audit Topic
  129. 129 12. Post governance and compliance audit Lesson
  130. 130 12.1 Nature and scope of subsequent events Topic
  131. 131 12.2 General guidelines on subsequent events Topic
  132. 132 13. Peer review mechanism Lesson
  133. 133 13.1 Purpose, scope and types of peer review Topic
  134. 134 13.2 Responsibilities of parties in peer review Topic
  135. 135 13.3 Peer review mechanism and assurance measures Topic
  136. 136 13.4 Quality management and assurance measures Topic
  137. 137 13.5 Confidentiality requirements Topic
  138. 138 14. Governance Awards in practice Lesson
  139. 139 14.1.1 The ICS Governance Awards , other regional governance awards Topic
  140. 140 14.1.2 Parameters evaluated in the government awards Topic
  141. 141 14.1.3 Award evaluation tool and scoring Topic
  142. 142 14.1.4 Governance Index Topic
  143. 143 15.Sample reading and reference material Lesson
  144. 144 15.1 Tarantino, A., Governance, Risk, and Compliance Handbook. (2008). Revised edition. Wileys. Topic
  145. 145 15.2 Solomon J.(2020). Corporate Governance and Accountability ( 5th edition). New Jersey: Wiley. Topic
  146. 146 15.3 Anamika, D., Mittal, R., & Mehta, D. (2018). Auditing and Corporate Governance. New Delhi: SBDP Publications Topic
  147. 147 15.4 Various Codes of Governance and Statutes: ICS Governance Journals: ICS Governance Standards and Guidelines: IFC Corporate Governance tools and publications Topic
  148. 148 15.5 Business Registration Services Guidelines notes: OECD Publications Topic
  149. 149 15.6 Kasneb e-learning resources (link on the Kasneb website) Topic
  150. 150 15.7 Kasneb approved study packs Topic
  151. 151 MAY-AUGUST 2025 Lesson

Report

Harassment or bullying behavior
Contains mature or sensitive content
Contains misleading or false information
Contains abusive or derogatory content
Contains spam, fake content or potential malware

Block Member?

Please confirm you want to block this member.

You will no longer be able to:

  • See blocked member's posts
  • Mention this member in posts
  • Invite this member to groups
  • Message this member
  • Add this member as a connection

Please note: This action will also remove this member from your connections and send a report to the site admin. Please allow a few minutes for this process to complete.

Report

You have already reported this .
Chat with us