Compliance Audit Services

Compliance is important in almost any industry, from health care and financial services to education and everywhere in between. With standards of compliance in place, everyone across all levels of a business conforms to the same legal and operational standards and policies that enable an organisation to operate smoothly. Over time, however, compliance guidelines can begin to slip, with people taking shortcuts in procedures. It’s only when an organisation goes through a compliance audit that these shortcuts become exposed and the documented procedures either need to be reintroduced or revised. Adept Financial Auditing specialises in compliance audit services for a wide range of industries. We can help your organisation get back on track to ensure everyone is following the same path.

Seven Important Elements to an Effective Compliance Program

There are seven key aspects to a compliance program that’s considered effective – all need to be established for everyone to be on the same page.

  1. Documented procedures and policies

  2. An established compliance team with a designated compliance officer who has the knowledge and ability to oversee compliance issues in the workplace

  3. Effective training and education for staff across all tiers of the business

  4. Clear, two way lines of communication

  5. Internal monitoring and compliance auditing

  6. Implementation of standards using publicised disciplinary action if needed

  7. Swift response to potential issues with corrective actions applied if necessary

By undertaking a comprehensive compliance audit with Adept Financial Auditing, we can help you and your organisation maintain uniformity with the operational policies and procedures. Contact us today to see how we can help you.

We can tailor our services to suit the specific needs of your real estate business.

Contact Adept today to discuss.

At Adept, we are registered with the Australian Securities and Investments Commission (ASIC) in accordance with legislation.