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Internal Auditor Basic Training Workshop - Reston, VA- (CCS)

Internal Auditor Basic Training Workshop

About this Event

Join us for a unique, interactive course that "walks you through" the Internal Audit process. The instructors focus on bring out the "tradecraft" needed to be an effective and efficient internal auditor.

This comprehensive internal audit training course is for anyone who wants to have a strong base of knowledge and understanding of the essential audit and the personal skills to become a successful internal auditor.

We present the "Audit Life Cycle": Discover how audits are planned (based on an assessment of risk); how audits are conducted (fieldwork including interviewing, identifying internal controls, methods of testing, audit sampling, workpaper documentation); how audits are reported (identifying, prioritizing and communicating internal control deficiencies); and how to follow up on audit findings.

Relax and learn through expert instructor presentations, group discussions, role-playing, audit exercises, white-board diagramming and simulations.

We present this event in over 40 locations each year to an average of four attendees per event. We have this delivery approach to allow for a focus on individual development and learning from our very experienced auditor educators.

This timely, three-day CPE training seminar is designed for the new internal auditor and individuals who have to create effective audit workpapers in performing internal audits and then communicate the results to management.

 

Seminar Highlights

. What are Auditing Standards?

. Understanding Risk Assessment.

. Understanding the elements of an effective organizational culture.

. Best Practices in creating an internal audit function.

. Best Practices in conducting audit fieldwork.

. Best Practices for testing internal controls and business processes.

. Audit verbal and written communications defined.

. Best Practices for testing internal controls.

. Best Practices in creating internal audit reporting tools.

. What to include and not include in each audit report.

. Essential sections of each type of audit report.

. How to properly document credibility determinations.

. Principles of clear and concise reporting.

Event Learning Objectives

. Understand why the internal audit function exists as a major entity level control.

. Review the different standards that can be applied to the audit function: IIA, PCAOB, Yellow Book, Green Book, COSO, ISACA, ISO, NIST, etc.

. How to identify risks at all levels in the Enterprise Risk Model.

. How to categorize risk and construct an effective internal audit plan that has both strategic and tactical goals.

. Understand how auditors are not the managers of an organization.

. Learn the Dr. Kotter's Eight Stage Process to guide the internal audit functions role in creating positive changes in an organization.

. Understand how an audit is conducted.

. Understand how to use the S.P.I.N (Situation - Problem - Implication - Need) in interviewing and documenting audit findings.

. Understand how to create mature business and administrative processes using the elements of a maturity model.

. How to evaluate and document internal controls.

. Knowledge of the best techniques for gathering audit evidence.

. See the importance of preparing quality workpapers.

. Discuss interpersonal and team-building skills.

. Understand how to motivate management to create effective "Management Action Plans" concerning audit findings.

. Review how to create an effective executive summary that calls for executive action concerning audit findings.

. Understand how to create effective communication elements.

Key Issues on the Agenda

 

Introduction

. About Us and About Your Instructor

. Who are You? What are Your Needs?

. Three Lines of Defense

. The Individual Audit Life Cycle

. Tradecraft for the Internal Auditor

Section 1 - Overview of Internal Audit Function

. History of Auditing

. Today's Internal Auditors

. What is "Internal Auditing"?

. The Effective Internal Audit Function

. Predictions for the Next Ten Years

. Professional Guidance Sources

. The "Thing" About Standards

. Guidance from the IIA

. IIA Code of Ethics

. Legislative Guidance: Sarbanes-Oxley Act

. What is "Internal Control"?

. COSO 2013 Guidance

. Major Internal Control Regulations

. Why Do Organizations Need Internal Controls?

. Information Technology Framework - COBIT

. What I/A Serivces Should Be Provided?

. What Types of Internal Audits Are Conducted?

. Accounting vs Auditing

. Dr. Kotter's Eight Steps to Organizational Change

Section 2 - Understanding Risk Management

. Myth's About Auditing

. What is Risk?

. Layers of Risk Management

. Dimensions of Risk at All Levels

. Business Objective - Risk - Control - Residual Risk

. What is the Maturity of the ERM Program

. Recognise the Categoies of Internal Control

. COSO Risk Assessment Principles

. COSO Control Environment Principles

. COSO Control Activities Principles

. COSO Information and Communication Principles

. COSO Monitoring Activities Principles

. "Heat Map" the Risks

. Pareto's Principle - The 80% 15% 5% Rule

. How Does the SEC Look at Deficiencies

Section 3 - Inside the Internal Audit Function

. Responsibilities - Management - External Audit - Internal Audit

. Internal Audit Department "Situation"

. What is the Hierarchy?

. Audit Committee Expectations

. What Skills Should Auditors Possess?

. Auditor Personality Profile

. Audit Software

. Flowchart the Process?

. Internal Audit vs. External Audit

. Does Your Orgnization Have a Financial Statement Audit?

. External Auditors Focus on "Materiality" and "Misstatements" in Financial Reports

. How to calculate what is "Materiality"?

. To Comply with GAAS, the External Auditor Must.

. To Comply with GAAS, the External Auditor Must.

Section 4 - Planning the Audit Function Coverage and Assessing Risk

. The Internal Audit "Life Cycle"

. Internal Audit Must Look into the Future.

. Conduct an "Internal Audit Risk Assessment"

. COSO's Focus is on Risk Management

. What are Management's Responses to Risks?

. Strategic Audit Planning

. Assess the Areas of Audit Risk

. So.How can controls fail? Why?

Section 5 - Detailed Individual Audit Planning

. Individual Internal Audit Planning Process

. Detailed Planning of Individual Audits

. Review the "Business Process Narratives"?

. Business Process Documentation

. Control Self Assessment Questionnaires

. Business Process Assertions

. Recognize the Important Internal Controls

. How Can Auditors Manage Risk?

. Where Can We Obtain Audit Procedures?

. Document Audit Procedures

. Tailor Your Audit Procedures based on the.

. Example of an Audit Procedure

. Audit Planning Memorandum

. Deliverables from the Planning Phase

Section 6 - Conducting the Internal Audit Fieldwork

. What Does "Audit" Mean"?

. Start the Audit Fieldwork

. Establish Fieldwork Guidelines

. The Auditee Needs to Present Their "Heat-Map"

. Conduct a "Walk-Through"

. Obtain Departmental Procedures

. Business Process Maturity

. How Should We Communicate with Audit Clients?

. Is the Interviewee Being Honest?

. The Deception Detection Obstacle Course

. What Deception Sounds Like

. What Deception Looks Like

. What "Fieldwork" Skills are Important?

. The Effective Audit Interviews

. "S.P.I.N." Audit Interviewing

. "S" - Situation Questions

. "P" - Open Ended Problem Questions

. "I" - Implication Questions

. "N" - What needs to be done?

. Sort Through the Interview

Section 7 - Testing the Controls in Business and Administrative Processes

. Business Processes are Grouped into "Cycles"

. Examples of Internal Controls for Business Processes

. Examples of "Entity-Level" Controls

. Fieldwork: Gather "Audit Evidence"

. Quality of "Audit Evidence"

. What are the Methods of Internal Control Testing?

. How "Effective" is the Control?

. How "Mature" is the Business Process

. What is the Sample Size for Testing Controls?

. Audit "Workpapers"

. Key Elements for Workpapers

. Essential Workpaper Characteristics

. Check Your Workpapers

. Workpaper Review - Common Issues

Section 8 - Workpapers Concerning Internal Audit Findings

. What is Professional Skepticism!

. What is the "Criteria" to Define the Finding?

. Document the Exceptions/ Findings

. Describe the Issue - The "Six Cs"

. Observations, Findings and Action Matrix

. What is the "Condition" of the Finding?

. Obtain a Confirmation of the Audit Findings

. Getting to the "Facts"

. Sample Workpaper: Summary of Findings

. What are the SEC Deficiencies?

. Examples of Risk-Ranked Findings

. What is the "Cause" of the Finding?

. Sample Workpaper: Summary of Causes

. What are the Root Cause Analysis Methods?

. The Five Whys

. What is the "Consequence" of the Finding?

. Sample Workpaper: Consequence

. Consequence - What is the Risk?

. Make the Recommendation SMART!

. Management Action Plans (MAPs)

. Findings Summary Table

. Ending the Fieldwork

. Deliverables from the "Doing" Phase

Section 9 - Individual Internal Audit Project Examples

. Operational Auditing

. How Do We Perform Operational Audits?

. Revenue Cycle

. P2P and Supply Chain Risk

. What are Compliance and Performance Audits?

. Fraud Audits..Where Do We Start?

. Categories of IT Controls

. Documentation and Testing of IT Controls

Section 10 - The Audit Communications Phase

. How to Write a BAD Audit Report

. What is a "Report"?

. How Effective are your Audit Reports?

. What is an "Status Report"?

. Auditor Guidance for Report Writing

. IIA Guidance on Internal Audit Reporting

. So.Why Do We Write Audit Reports?

. Change the Organization!

Section 11 - Making Audit Communications Effective

. Feelings

. How Can We Improve Our Audit Communication Skills?

. Say It Better!

. Who are the Recipients of Our Audit Reports?

. Write for Your Audience

. Organize the Content for Your Audience

. Is This Acceptable for Your Audience?

. Improving "Audience Adaptation"?

Section 12 - Components of the Audit Report

. The Internal Audit "Life Cycle"

. The "Audit Trail" to the Report

. Sections of the Audit Report

. Example of Dave's Cover Page

. Executive Summary

. Internal Audit Summary

. Audit Findings

. Management Action Plans

. Appendices

Section 13 - The High Level Focus: Executive Summary - Audit Summary

. Summary Sections

. Value Creator Executive Summaries

. Executive Summary - Section One - Focus the message on Risk, Governance and Strategy

. Executive Summary - Section Two - Focus the message on strengths, compliance and challenges

. Executive Summary - Section Three - Focus the message on Action!

. Summary Table of the Issues

. Audit Summary

. Identify the Audit Objectives

. Audit Scope Limitations

. Opinion Statement

. How Can We Write Effective Summaries?

Section 14 - The Hard Facts: Audit Findings

. What is an "Audit Finding"?

. Is the Finding Feasible?

. How "Effective" is the Control?

. What are the Deficiencies?

. Examples of Risk-Ranked Findings

. "We Have a Finding!"

. How Can We Write More Effective Audit Findings?

. "Condition" Statements

. What is the "Condition" of the Finding?

. Detailed Description of "Condition"

. How Can We Write STRONGER "Condition" Statements?

. What is the "Criteria" of the Finding?

. What is the "Cause" of the Finding?

. Proximate - Intermediate - Root Cause

. What is the "Consequence" of the Finding?

. Consequence - What is the Risk?

. "Consequence"; "Effect"

. The Root Cause Groupings Lead to Corporate Cultural Issues

Section 15 - Audit Opinion and Ratings

. What is an Audit Opinion?

. Audit Rating, Score or Grade

. Should Each Finding Be Risk-Rated?

. "CMMI" Levels of Maturity

. We Can Measure "Control Maturity"?

. "CMMI" Levels of Maturity

. Internal Control Reliability Model

. Rating with the "Internal Control Maturity Model"

Section 16 - Audit Report Formatting

. Do We Have Audit Report Format Standards?

. Font Type and Size

. Text Justification

. Format for the "Findings and Recommendations" Section

. "Paragraph" Formal

. "Mapped" Format?

. "Matrix" Format

. "Bullet" Format

. Format According to the Audit Type

. Special Reports

Section 19 - Optimizing the Audit Report

. Optimizing the Report

. Apply the IPPF Guidance

. Optimize the Visual Presentation

. Optimize the Cover Page

. Optimize the Report Structure

. Optimize the Readability

. Optimize the "Sequencing"

. Optimize the Flow

. Optimize the Wording

. Optimize the Paragraphs

. Optimize the Sentences

. Optimize the Content

. Clarity

. Clarity and Conciseness

. Coherence

. Conciseness and Word Economy

. Report Optimization - Verb Tense

. Optimize the Tone

. Proof Read Carefully!

. Peer-Review the Report

. Optimize Format to the Visual Person

. Finalize the Report

. Do We Formally Follow Up?

. 10 Things Internal Auditors Should Not Say.

Section 18 - Summary and Wrap-Up

. The "Audit Life Cycle"

. Dave's Keys to Being a Successful Auditor

. 10 Keys to successful internal auditing

. The Audit Report.

. 10 Keys to Successful Audit Reporting

. Stay "On Top of Your Game"

. The Auditing Profession

. Do We Maintain Ongoing Relationships?

Corporate Compliance Seminars has been created by experts who enjoy providing CPE classroom training, workshops and consulting on internal controls, internal auditing and accounting related subjects. We have focused on SOX, COSO, PCAOB, COBIT, GRC, IFRS, AICPA, GAO and IIA Standards.

Our programs are CPE for professionals with CPA, CGA, CIA, CFE, CISA, CMA and CA designations.

Corporate Compliance Seminars presents CPE to auditors, compliance and IT professionals, Boards of Directors and Audit Committees. We examine the details of risk management, Sarbanes-Oxley Act compliance, Model Audit Rule compliance, auditing, internal controls, IT security and compliance, and fraud prevention and detection.

Corporate Compliance Seminars allows the attendee to earn Official NASBA CPE credit.

Our seminars focus on the details of the Sarbanes-Oxley Act of 2002 (SOX), Internal Controls over Financial Reporting (ICFR), Committee of Sponsoring Organizations of the Treadway Commission (COSO) Internal Control Frameworks, ISACA's Control Objectives over Information Technology (COBIT), Information Technology Infrastructure Library (ITIL), Open Compliance & Ethics Group's (OCEG) Governance, Risk & Compliance (GRC) methodology, PCAOB's Auditing Standard 5 (AS5), AICPA auditing standards and the future conversion from GAAP to the International Financial Reporting Standards (IFRS).

Our seminars provide CPE for the CPA, CFE, CIA, CISA, auditors and others with effective and engaging training.

 

 

 

"Please contact the event manager Marilyn (marilyn.b.turner(at)nyeventslist.com ) below for:

- Multiple participant discounts

- Price quotations or visa invitation letters

- Payment by alternate channels (PayPal, check, Western Union, wire transfers etc)

- Event sponsorships

NO REFUNDS/TRANSFERS ALLOWED ON REGISTRATIONS

Prices may go up any time. Service fees included in pricing.

-----------------------------------------------------------------

This event is brought to you by:

Corporate Compliance Seminars - NewYorkEventsList

http://www.nyeventslist.com

http://www.bostoneventslist.com

http://www.sfbayeventslist.com

-----------------------------------------------------------------"

 

ELA191115CEV

Reference:

https://www.eventbrite.dk/e/internal-auditor-basic-training-workshop-reston-va-ccs-tickets-82198494911

COSO Compliance Training Academy- Bethesda, MD - (CCS)


COSO Compliance Training Academy

About this Event

Focuses on the skills need by professionals working on COSO 2013 compliance programs

Our academy approach contains the relevant information which professionals will need to fulfill the "Internal Control Life Cycle" using the "top-down, risk-based" approach.

We teach the background knowledge sources, provide advice on how to conduct risk assessments, discuss scoping, and review how to plan the assessment of an internal control framework. Risk management activities are the key process to determine the requirement of the ICFR assessment program. The program deliverables should lead to management's opining on the status of the internal control framework in reference to the SEC reporting requirements.

We have created detailed workshop materials based on our experiences with the creation and validation of internal controls over financial reporting (ICFR).

This twenty-four hour (three-day) CPE course provides you with the tradecraft skills to implement a compliance program that is consistent with COSO 2013 and Sarbanes-Oxley compliance:

 

Day One:

Introduction - Dr. Deming's Thoughts on Quality - SEC ICFR Reporting

Internal Control Concepts and Challenges

Available Internal Control Frameworks

Business Objectives to Risk Assessments

Day Two:

Performing Risk Assessments within the Business Process

Performing Risk Assessments within the IT Activity

Identifying Key Controls

Assessing Design - Testing Effectiveness

Day Three:

Evaluating Control Deficiencies and their future

Opining and Certification

Keys to successful ICFR assessment

Building a culture of compliance

Top COSO 2013 key control programs

What You Get!!!:

We present the roadmap to having the skills and knowledge to work on COSO 2013 compliance.

 

Benefits of Attending

- Review how COSO 2013 is structured

- Understand the skills necessary to design, implement and test controls

- Know the key program management deliverables within a COSO 2013 program

- Review the implications for using COSO 2013 and its assessment

 

Learning Objectives

- Defining "internal control framework" within an organization

- Describing the COSO 2013 Framework and its documents to management

- Positioning attendees to design, implement and assess internal controls at all levels

- Understanding the gaps and shortcomings in COSO 2013 compliance

 

Key Issues on the Agenda

Introductions

- Introductions

- Dr. Deming's Thoughts on Quality

- SEC ICFR Reporting Requirements

Section One - Internal Control Concepts and Challenges

- Pareto's Law

- Moore's Law

- The Business Model

- Five Layers of Business Objectives

- Enterprise Risk Management (ERM)

- Internal Controls

- Integration of Internal Controls

- Internal Controls over Financial Reporting (ICFR)

- Six Layers of Key Controls for ICFR

- Challenges with Humans

- Ownership is Required for Everything

- Communications

 

Section Two - Available Internal Control Frameworks

- COSO Enterprise Risk Management (COSO ERM 2017)

- COSO 2013 - 17 Principles and 85 Points of Focus

- ISACA Control Objectives for Information and Related Technologies (COBIT

) - Basel Committee on Banking Supervision (Basel II)

- Federal Deposit Insurance Corporate Improvement Act of 1991 (FDICIA)

- Internal Control Program Charter - How does an integrated program address ERM, COSO, COBIT, Basel II and FDICIA

- How Effective is Your ICFR? (Exercise)

 

Section Three - Business Objectives to Risk Assessments

- The Business Model to Identified Risks

- Layers of Risk Assessment

- ERM Best Practices

- Operations Risk Assessment

- Compliance Risk Assessment

- Information Technology Risk Assessment

- Financial Statement Risk Assessment

- The Big Three Connections - Business Objective - Risk - Control

- Measuring Residual Risk vs Inherent Risk

- Entity Level Controls Integration within the COSO Framework (Exercise)

 

Section Four - Performing Risk Assessments within the Business Process

- Significant accounts and their transaction sources

- Application software and transaction flow within business processes

- Business Objectives - Risks - Internal Controls relationship

- Risk Assessment within the Business Process

- Business Process Assertions - CAVR-C

- The "usual" suspects within a business process for misstatements

- Business process documentation standards (Exercise)

- Origination Services business process (Exercise)

 

Section Five - Performing Risk Assessments within the IT Activity

- Significant IT General Controls

- Risk Assessment within the IT Activity

- IT Activity Assertions

- The "usual" suspects within IT General Controls for material weaknesses

- IT Activity documentation standards (Exercise)

 

Section Six - Identifying Key Controls

- The labels controls carry - Entity - Process - ITGC - Preventive - Detective - Manual - Automated - Compensating - Review

- Key controls vs non-key controls

- Classifying controls in a business process exercise

- Information presented in reports and dashboards (IPE) Controls

- Business Process Key Controls (Exercise)

 

Section Seven - Assessing Design - Testing Effectiveness

- The walkthrough process

- Walkthrough interviewing using S.P.I.N.

- How to get to the facts

- Establishing a "Fact"

- Assessing the design of controls

- Elements maturity within business processes

- Testing for operation effectiveness of controls

- Methods of testing business process controls

- Sample size and sampling methodologies

- Defining and documenting an issue noted in testing

- Origination Services key controls testing (Exercise)

 

Section Eight - Evaluating Control Deficiencies and their future

- SEC's Definitions concerning Deficiencies

- Categories of Internal Control Deficiencies

- Determining materiality

- Documenting a deficiency

- Measuring the deficiency

- Determining the "Root Cause"

- Remediation

- Retesting

- Tracking of deficiencies (Exercise)

 

Section Nine - Opining and Certification

- COSO 2013 Guidance on ICFR Assessments

- Assessment vs Audit

- SEC Requirements

- Evidence to support management's assessment

- Certification of "ICFR"

- Opining to the External Auditor & SEC

 

Section Ten - Summary

- Keys to successful ICFR assessment

- Building a culture of compliance

- Top COSO 2013 key control programs

 

Corporate Compliance Seminars has been created by experts who enjoy providing CPE classroom training, workshops and consulting on internal controls, internal auditing and accounting related subjects. We have focused on SOX, COSO, PCAOB, COBIT, GRC, IFRS, AICPA, GAO and IIA Standards.

Our programs are CPE for professionals with CPA, CGA, CIA, CFE, CISA, CMA and CA designations.

Corporate Compliance Seminars presents CPE to auditors, compliance and IT professionals, Boards of Directors and Audit Committees. We examine the details of risk management, Sarbanes-Oxley Act compliance, Model Audit Rule compliance, auditing, internal controls, IT security and compliance, and fraud prevention and detection.

Corporate Compliance Seminars allows the attendee to earn Official NASBA CPE credit.

Our seminars focus on the details of the Sarbanes-Oxley Act of 2002 (SOX), Internal Controls over Financial Reporting (ICFR), Committee of Sponsoring Organizations of the Treadway Commission (COSO) Internal Control Frameworks, ISACA's Control Objectives over Information Technology (COBIT), Information Technology Infrastructure Library (ITIL), Open Compliance & Ethics Group's (OCEG) Governance, Risk & Compliance (GRC) methodology, PCAOB's Auditing Standard 5 (AS5), AICPA auditing standards and the future conversion from GAAP to the International Financial Reporting Standards (IFRS).

Our seminars provide CPE for the CPA, CFE, CIA, CISA, auditors and others with effective and engaging training.

 

 

"Please contact the event manager Marilyn (marilyn.b.turner(at)nyeventslist.com ) below for:

- Multiple participant discounts

- Price quotations or visa invitation letters

- Payment by alternate channels (PayPal, check, Western Union, wire transfers etc)

- Event sponsorships

NO REFUNDS/TRANSFERS ALLOWED ON REGISTRATIONS

Prices may go up any time. Service fees included in pricing.

-----------------------------------------------------------------

This event is brought to you by:

Corporate Compliance Seminars - NewYorkEventsList

http://www.nyeventslist.com

http://www.bostoneventslist.com

http://www.sfbayeventslist.com

-----------------------------------------------------------------"

 

ELA191202CEV

Reference:

https://www.eventbrite.dk/e/coso-compliance-training-academy-bethesda-md-ccs-tickets-84591711085

Internal Auditor Basic Training Workshop - Arlington, VA - (CCS)


Internal Auditor Basic Training Workshop

About this Event

Join us for a unique, interactive course that "walks you through" the Internal Audit process. The instructors focus on bring out the "tradecraft" needed to be an effective and efficient internal auditor.

This comprehensive internal audit training course is for anyone who wants to have a strong base of knowledge and understanding of the essential audit and the personal skills to become a successful internal auditor.

We present the "Audit Life Cycle": Discover how audits are planned (based on an assessment of risk); how audits are conducted (fieldwork including interviewing, identifying internal controls, methods of testing, audit sampling, workpaper documentation); how audits are reported (identifying, prioritizing and communicating internal control deficiencies); and how to follow up on audit findings.

Relax and learn through expert instructor presentations, group discussions, role-playing, audit exercises, white-board diagramming and simulations.

We present this event in over 40 locations each year to an average of four attendees per event. We have this delivery approach to allow for a focus on individual development and learning from our very experienced auditor educators.

This timely, three-day CPE training seminar is designed for the new internal auditor and individuals who have to create effective audit workpapers in performing internal audits and then communicate the results to management.

 

Seminar Highlights

. What are Auditing Standards?

. Understanding Risk Assessment.

. Understanding the elements of an effective organizational culture.

. Best Practices in creating an internal audit function.

. Best Practices in conducting audit fieldwork.

. Best Practices for testing internal controls and business processes.

. Audit verbal and written communications defined.

. Best Practices for testing internal controls.

. Best Practices in creating internal audit reporting tools.

. What to include and not include in each audit report.

. Essential sections of each type of audit report.

. How to properly document credibility determinations.

. Principles of clear and concise reporting.

Event Learning Objectives

. Understand why the internal audit function exists as a major entity level control.

. Review the different standards that can be applied to the audit function: IIA, PCAOB, Yellow Book, Green Book, COSO, ISACA, ISO, NIST, etc.

. How to identify risks at all levels in the Enterprise Risk Model.

. How to categorize risk and construct an effective internal audit plan that has both strategic and tactical goals.

. Understand how auditors are not the managers of an organization.

. Learn the Dr. Kotter's Eight Stage Process to guide the internal audit functions role in creating positive changes in an organization.

. Understand how an audit is conducted.

. Understand how to use the S.P.I.N (Situation - Problem - Implication - Need) in interviewing and documenting audit findings.

. Understand how to create mature business and administrative processes using the elements of a maturity model.

. How to evaluate and document internal controls.

. Knowledge of the best techniques for gathering audit evidence.

. See the importance of preparing quality workpapers.

. Discuss interpersonal and team-building skills.

. Understand how to motivate management to create effective "Management Action Plans" concerning audit findings.

. Review how to create an effective executive summary that calls for executive action concerning audit findings.

. Understand how to create effective communication elements.

Key Issues on the Agenda

 

Introduction

. About Us and About Your Instructor

. Who are You? What are Your Needs?

. Three Lines of Defense

. The Individual Audit Life Cycle

. Tradecraft for the Internal Auditor

Section 1 - Overview of Internal Audit Function

. History of Auditing

. Today's Internal Auditors

. What is "Internal Auditing"?

. The Effective Internal Audit Function

. Predictions for the Next Ten Years

. Professional Guidance Sources

. The "Thing" About Standards

. Guidance from the IIA

. IIA Code of Ethics

. Legislative Guidance: Sarbanes-Oxley Act

. What is "Internal Control"?

. COSO 2013 Guidance

. Major Internal Control Regulations

. Why Do Organizations Need Internal Controls?

. Information Technology Framework - COBIT

. What I/A Serivces Should Be Provided?

. What Types of Internal Audits Are Conducted?

. Accounting vs Auditing

. Dr. Kotter's Eight Steps to Organizational Change

Section 2 - Understanding Risk Management

. Myth's About Auditing

. What is Risk?

. Layers of Risk Management

. Dimensions of Risk at All Levels

. Business Objective - Risk - Control - Residual Risk

. What is the Maturity of the ERM Program

. Recognise the Categoies of Internal Control

. COSO Risk Assessment Principles

. COSO Control Environment Principles

. COSO Control Activities Principles

. COSO Information and Communication Principles

. COSO Monitoring Activities Principles

. "Heat Map" the Risks

. Pareto's Principle - The 80% 15% 5% Rule

. How Does the SEC Look at Deficiencies

Section 3 - Inside the Internal Audit Function

. Responsibilities - Management - External Audit - Internal Audit

. Internal Audit Department "Situation"

. What is the Hierarchy?

. Audit Committee Expectations

. What Skills Should Auditors Possess?

. Auditor Personality Profile

. Audit Software

. Flowchart the Process?

. Internal Audit vs. External Audit

. Does Your Orgnization Have a Financial Statement Audit?

. External Auditors Focus on "Materiality" and "Misstatements" in Financial Reports

. How to calculate what is "Materiality"?

. To Comply with GAAS, the External Auditor Must.

. To Comply with GAAS, the External Auditor Must.

Section 4 - Planning the Audit Function Coverage and Assessing Risk

. The Internal Audit "Life Cycle"

. Internal Audit Must Look into the Future.

. Conduct an "Internal Audit Risk Assessment"

. COSO's Focus is on Risk Management

. What are Management's Responses to Risks?

. Strategic Audit Planning

. Assess the Areas of Audit Risk

. So.How can controls fail? Why?

Section 5 - Detailed Individual Audit Planning

. Individual Internal Audit Planning Process

. Detailed Planning of Individual Audits

. Review the "Business Process Narratives"?

. Business Process Documentation

. Control Self Assessment Questionnaires

. Business Process Assertions

. Recognize the Important Internal Controls

. How Can Auditors Manage Risk?

. Where Can We Obtain Audit Procedures?

. Document Audit Procedures

. Tailor Your Audit Procedures based on the.

. Example of an Audit Procedure

. Audit Planning Memorandum

. Deliverables from the Planning Phase

Section 6 - Conducting the Internal Audit Fieldwork

. What Does "Audit" Mean"?

. Start the Audit Fieldwork

. Establish Fieldwork Guidelines

. The Auditee Needs to Present Their "Heat-Map"

. Conduct a "Walk-Through"

. Obtain Departmental Procedures

. Business Process Maturity

. How Should We Communicate with Audit Clients?

. Is the Interviewee Being Honest?

. The Deception Detection Obstacle Course

. What Deception Sounds Like

. What Deception Looks Like

. What "Fieldwork" Skills are Important?

. The Effective Audit Interviews

. "S.P.I.N." Audit Interviewing

. "S" - Situation Questions

. "P" - Open Ended Problem Questions

. "I" - Implication Questions

. "N" - What needs to be done?

. Sort Through the Interview

Section 7 - Testing the Controls in Business and Administrative Processes

. Business Processes are Grouped into "Cycles"

. Examples of Internal Controls for Business Processes

. Examples of "Entity-Level" Controls

. Fieldwork: Gather "Audit Evidence"

. Quality of "Audit Evidence"

. What are the Methods of Internal Control Testing?

. How "Effective" is the Control?

. How "Mature" is the Business Process

. What is the Sample Size for Testing Controls?

. Audit "Workpapers"

. Key Elements for Workpapers

. Essential Workpaper Characteristics

. Check Your Workpapers

. Workpaper Review - Common Issues

Section 8 - Workpapers Concerning Internal Audit Findings

. What is Professional Skepticism!

. What is the "Criteria" to Define the Finding?

. Document the Exceptions/ Findings

. Describe the Issue - The "Six Cs"

. Observations, Findings and Action Matrix

. What is the "Condition" of the Finding?

. Obtain a Confirmation of the Audit Findings

. Getting to the "Facts"

. Sample Workpaper: Summary of Findings

. What are the SEC Deficiencies?

. Examples of Risk-Ranked Findings

. What is the "Cause" of the Finding?

. Sample Workpaper: Summary of Causes

. What are the Root Cause Analysis Methods?

. The Five Whys

. What is the "Consequence" of the Finding?

. Sample Workpaper: Consequence

. Consequence - What is the Risk?

. Make the Recommendation SMART!

. Management Action Plans (MAPs)

. Findings Summary Table

. Ending the Fieldwork

. Deliverables from the "Doing" Phase

Section 9 - Individual Internal Audit Project Examples

. Operational Auditing

. How Do We Perform Operational Audits?

. Revenue Cycle

. P2P and Supply Chain Risk

. What are Compliance and Performance Audits?

. Fraud Audits..Where Do We Start?

. Categories of IT Controls

. Documentation and Testing of IT Controls

Section 10 - The Audit Communications Phase

. How to Write a BAD Audit Report

. What is a "Report"?

. How Effective are your Audit Reports?

. What is an "Status Report"?

. Auditor Guidance for Report Writing

. IIA Guidance on Internal Audit Reporting

. So.Why Do We Write Audit Reports?

. Change the Organization!

Section 11 - Making Audit Communications Effective

. Feelings

. How Can We Improve Our Audit Communication Skills?

. Say It Better!

. Who are the Recipients of Our Audit Reports?

. Write for Your Audience

. Organize the Content for Your Audience

. Is This Acceptable for Your Audience?

. Improving "Audience Adaptation"?

Section 12 - Components of the Audit Report

. The Internal Audit "Life Cycle"

. The "Audit Trail" to the Report

. Sections of the Audit Report

. Example of Dave's Cover Page

. Executive Summary

. Internal Audit Summary

. Audit Findings

. Management Action Plans

. Appendices

Section 13 - The High Level Focus: Executive Summary - Audit Summary

. Summary Sections

. Value Creator Executive Summaries

. Executive Summary - Section One - Focus the message on Risk, Governance and Strategy

. Executive Summary - Section Two - Focus the message on strengths, compliance and challenges

. Executive Summary - Section Three - Focus the message on Action!

. Summary Table of the Issues

. Audit Summary

. Identify the Audit Objectives

. Audit Scope Limitations

. Opinion Statement

. How Can We Write Effective Summaries?

Section 14 - The Hard Facts: Audit Findings

. What is an "Audit Finding"?

. Is the Finding Feasible?

. How "Effective" is the Control?

. What are the Deficiencies?

. Examples of Risk-Ranked Findings

. "We Have a Finding!"

. How Can We Write More Effective Audit Findings?

. "Condition" Statements

. What is the "Condition" of the Finding?

. Detailed Description of "Condition"

. How Can We Write STRONGER "Condition" Statements?

. What is the "Criteria" of the Finding?

. What is the "Cause" of the Finding?

. Proximate - Intermediate - Root Cause

. What is the "Consequence" of the Finding?

. Consequence - What is the Risk?

. "Consequence"; "Effect"

. The Root Cause Groupings Lead to Corporate Cultural Issues

Section 15 - Audit Opinion and Ratings

. What is an Audit Opinion?

. Audit Rating, Score or Grade

. Should Each Finding Be Risk-Rated?

. "CMMI" Levels of Maturity

. We Can Measure "Control Maturity"?

. "CMMI" Levels of Maturity

. Internal Control Reliability Model

. Rating with the "Internal Control Maturity Model"

Section 16 - Audit Report Formatting

. Do We Have Audit Report Format Standards?

. Font Type and Size

. Text Justification

. Format for the "Findings and Recommendations" Section

. "Paragraph" Formal

. "Mapped" Format?

. "Matrix" Format

. "Bullet" Format

. Format According to the Audit Type

. Special Reports

Section 19 - Optimizing the Audit Report

. Optimizing the Report

. Apply the IPPF Guidance

. Optimize the Visual Presentation

. Optimize the Cover Page

. Optimize the Report Structure

. Optimize the Readability

. Optimize the "Sequencing"

. Optimize the Flow

. Optimize the Wording

. Optimize the Paragraphs

. Optimize the Sentences

. Optimize the Content

. Clarity

. Clarity and Conciseness

. Coherence

. Conciseness and Word Economy

. Report Optimization - Verb Tense

. Optimize the Tone

. Proof Read Carefully!

. Peer-Review the Report

. Optimize Format to the Visual Person

. Finalize the Report

. Do We Formally Follow Up?

. 10 Things Internal Auditors Should Not Say.

Section 18 - Summary and Wrap-Up

. The "Audit Life Cycle"

. Dave's Keys to Being a Successful Auditor

. 10 Keys to successful internal auditing

. The Audit Report.

. 10 Keys to Successful Audit Reporting

. Stay "On Top of Your Game"

. The Auditing Profession

. Do We Maintain Ongoing Relationships?

Corporate Compliance Seminars has been created by experts who enjoy providing CPE classroom training, workshops and consulting on internal controls, internal auditing and accounting related subjects. We have focused on SOX, COSO, PCAOB, COBIT, GRC, IFRS, AICPA, GAO and IIA Standards.

Our programs are CPE for professionals with CPA, CGA, CIA, CFE, CISA, CMA and CA designations.

Corporate Compliance Seminars presents CPE to auditors, compliance and IT professionals, Boards of Directors and Audit Committees. We examine the details of risk management, Sarbanes-Oxley Act compliance, Model Audit Rule compliance, auditing, internal controls, IT security and compliance, and fraud prevention and detection.

Corporate Compliance Seminars allows the attendee to earn Official NASBA CPE credit.

Our seminars focus on the details of the Sarbanes-Oxley Act of 2002 (SOX), Internal Controls over Financial Reporting (ICFR), Committee of Sponsoring Organizations of the Treadway Commission (COSO) Internal Control Frameworks, ISACA's Control Objectives over Information Technology (COBIT), Information Technology Infrastructure Library (ITIL), Open Compliance & Ethics Group's (OCEG) Governance, Risk & Compliance (GRC) methodology, PCAOB's Auditing Standard 5 (AS5), AICPA auditing standards and the future conversion from GAAP to the International Financial Reporting Standards (IFRS).

Our seminars provide CPE for the CPA, CFE, CIA, CISA, auditors and others with effective and engaging training.

 

 

 

"Please contact the event manager Marilyn (marilyn.b.turner(at)nyeventslist.com ) below for:

- Multiple participant discounts

- Price quotations or visa invitation letters

- Payment by alternate channels (PayPal, check, Western Union, wire transfers etc)

- Event sponsorships

NO REFUNDS/TRANSFERS ALLOWED ON REGISTRATIONS

Prices may go up any time. Service fees included in pricing.

-----------------------------------------------------------------

This event is brought to you by:

Corporate Compliance Seminars - NewYorkEventsList

http://www.nyeventslist.com

http://www.bostoneventslist.com

http://www.sfbayeventslist.com

-----------------------------------------------------------------"

 

ELA191122CEV

Reference:

https://www.eventbrite.dk/e/internal-auditor-basic-training-workshop-arlington-va-ccs-tickets-83327610125

The GAO Green Book Compliance Training Academy - Arlington, VA-(CCS)


The GAO Green Book Compliance Training Academy (3 Days)

About this Event

A Practical Approach to GAO Green Book Compliance Programs

Join us for a unique, interactive workshop that "walks you through" the latest update of The Green Book which now conforms to the Internal Control Integrated Framework (COSO 2013) from the Committee of Sponsoring Organizations of the Treadway Commission (COSO). This training is focused on the current Standards for Internal Control in the Federal Government as detailed in the GAO's Green Book.

This twenty-four hour (three-day) CPE course provides you with the tools to implement a compliance program that is consistent with The Green Book.

This program covers the Who - What - Why - Where - How to Control. We look at the 17 principles-based approach presented in The Green Book. We make sure your program covers the 52 attributes concerning Green Book compliance.

Documentation is a necessary part of an effective internal control system and is required for the effective design, implementation, and operating effectiveness of the internal control system. To document an understanding of an entity's internal control, management may consider developing documents such as:

 

1. Policies and procedures manuals

2. Flowcharts

3. Narratives/Tables

4. Risk Control Matrices (RCM)

 

Establishing a Project Management Office (PMO). Transitioning to Create Value Through Self-Assessment. Mapping the key controls library to the 17 principles and 52. Gap Analysis.

We present the roadmap to Green Book compliance and documentation based on textbook approaches and real-world guidance from our client engagements.

Relax, learn and enjoy expert instructor presentations, group discussions, role-playing, audit and compliance exercises, white-board diagramming and simulations.

 

Benefits of Attending

- Review how The Green Book is structured

- Understand the mapping of The Green Book to COSO 2013

- Know the key entity level controls that are highlighted in The Green Book

- Review the implications for using The Green Book

 

Seminar Highlights

- The Components of COSO

- Logic presented by the COSO Components

- The structure used to describe the COSO Framework as used in The Green Book

- Principles present in The Green Book Framework

- The "Attributes" in The Green Book vs the "Points of Focus" in COSO 2013

- The importance of the "Attributes"

- How to gage the effectiveness of internal controls

- How to build a "Culture of Compliance

 

Learning Objectives

- Defining "internal control framework" within an organization

- Describing The Green Book standard and its documents to management

- Positioning attendees to begin planning their conversion to the new Green Book standard

- Assurance to the attendee that they can work to be insync with Uniform Administrative Rules Section 200.303

- Understanding the gaps and shortcomings in Green Book compliance

 

Key Issues on the Agenda

Introduction

. Introductions

. Internal Control Tradecraft

. Myths!

. Integrated Internal Control

 

SECTION 1 - INTERNAL CONTROL CONCEPTS

. The Green Book Context

. How the World Works

. Internal Control Concept

. COSO 2013 to The Green Book

. Quality Control Concept

. The Big Three Connection

. Understanding the "Real" Risks

. Layers of "Cause"

. Dr. Deming's 14 Quality Concepts

. Enterprise Risk Management Concept

. Understanding the "Real" Risks

. Mission - Values - Business Model Concept

. Humans and Internal Controls

. Control Environment Concept

. Four Stages of Competence

. Human Communication Concepts

. Dr. Kotter's Steps for Change

. Program Management Concept

 

SECTION 2 -INTERNAL CONTROL AND ACCOUNTING FRAMEWORKS

. SOX vs the Green Book

. Financial Reporting Standards

. Why Frameworks?

. COSO ERM 2.0

. COSO Internal Control Framework

. The Green Book

. Auditor's Summary of COSO 2013

. The Green Book - Risk Assessment

. The Green Book - Control Environment

. The Green Book - Control Activities

. The Green Book - Information & Communication

. The Green Book - Monitoring Activities

 

SECTION 3 - INFORMATION TECHNOLOGY INTERNAL CONTROL CONCEPTS

. What is "Moore's Law"?

. Categories of IT Controls

. What is IT all about?

. Information Technology Frameworks

. COBIT 5.0 Principles

. COBIT Enterprise Enablers

. COBIT Domains

. COBIT Governance Domain

. COBIT Align, Plan & Organize Domain

. COBIT Build, Acquire & Implement Domain

. COBIT Deliver, Service & Support Domain

. COBIT Monitor, Evaluation & Assess Domain

. COBIT Software Life Cycle Approach

 

SECTION 4 - MANAGEMENT'S APPROACH TO SETTING THE GREEN BOOK OBJECTIVES

. Define Objectives and Risk Tolerances

. Layer of Objectives

. Categorizing Your Controls

. Attribute Tracking of Internal Controls

. Assessment of the "Big Three"

. Elements of the Federal Enterprise Model

. Six Business Model Elements

. Entity Level Controls

. Integration Mapping

. Identify, Analyze, and Respond to Risks

. Assess Fraud Risk

. Identify, Analyze, and Respond to Change

 

SECTION 5 - MANAGEMENT'S APPROACH TO DOCUMENTATION

. The Big Three Connection Concept

. Management's layers of Risk Assessment

. Inventory Your Controls

. Policies vs Procedures

. Maturity Model: Policy - Standard - Procedure

. Concepts Behind Policy-Procedure Effectiveness

. Ownership is Required

. Current State and/or Benchmarking

. Training

. Mentoring - Coaching

. Exception Handling

. Continuous Improvement

. Management by Walking Around

. Proactive Root Cause Analyst

. Control Self Assessments

. Organizational Change Management

 

SECTION 6 - TOOLKIT FOR THE ASSESSOR OF INTERNAL CONTROLS

. Competence

. The Facts

. Monitoring and Analytics

. The Usual Suspects

. Whistleblower Hotlines

. Interviewing using the S.P.I.N. Methodology

. Make the Management Action Plan SMART

. Layers of Cause

. Root Cause Analysis

. Communication Challenges

. Recognizing Different Personalities

. Categories of Lies

. What Deception Sounds Like

. What Deception Looks Like

. What do you tell the executive?

. Input-Process-Output

. Levels of Maturity

. Internal Control Reliability Model

. The Walk Through

. Dr. Kotter's Steps for Change

 

SECTION 7 - INTERNAL CONTROL PROGRAM MANAGEMENT

. Program Organization

. How do we manage the program?

. Green Book Program Management

. Green Book Project Scope

. Responsibilities of the Internal Control Team

. Project Director

. Scope Management

. Project Management Killers

. Project Planning Deliverables

 

SECTION 8 - ENTITY LEVEL ANNUAL INTERNAL CONTROL

. Overall Assessment of a System of Internal Control

. Points for Risk Management

. Risk Management is not perfect

. Green Book Risk Assessment

. COSO Internal Control Integrated Framework

. Defined "Entity Controls"

. Characteristics of ELC Documentation

. Better Policy Management

. IT General Controls Risk Assessment

. IT Risk Planning

. IT General Controls Focus

. Financial Statement Risk Assessment

. ICFR Applications Risk Assessment

. Have you defined deficiencies?

. Categories of "Control Deficiencies"

. Summary of Deficiencies

. Defensive Strategy "Business Resilience"

 

SECTION 9 - PROCESS LEVEL INTERNAL CONTROL FUNCTIONS

. Process & Activity Ownership

. Business Cycles and Processes

. Risks within the Process

. Business Process Documentation

. What are the assertions for key controls?

. Segregation of Duties

. Flowcharting

. What about Spreadsheets?

. Annual Assessment and "SSAE 18"

. Control Self Assessment Program

. Certification of "ICFR"

 

SECTION 10 - THE AGENCY INTERNAL AUDIT FUNCTION

. Internal Audit Testing ICFR??

. Internal Audit Charter

. Internal Audit Coverage

. Internal Audit Tactical Plan

. External Audit Testing

. Top Down Approach

. Internal Control Group Testing

 

SECTION 11 - INTERNAL CONTROL TESTING

. Remediate and Re-Test

. Types of Testing

. Evaluate the Stages of "Control Effectiveness"

. Sample Selection

. Sample Size

. Testing Controls

 

SECTION 12 - INTERNAL CONTROL REPORTING TRADECRAFT

. Optimize the Report Structure

. Know Your Audience

. Write for Your Audience

. Organize Control

. What to tell the Executive?

. Executive Summary Section

. Findings

. Condition - Cause - Effect

. Management Action Plans

. Optimize the Tone

 

SECTION 13 - THE GREEN BOOK COMPLIANCE SUMMARY

. Opining

. Assessment of ICFR

. Defensive Strategies

. Better Policy Management

. Culture of Compliance

. Key Control Programs

. Keys to Success

. Overall Assessment of a System of Internal Control

 

Corporate Compliance Seminars has been created by experts who enjoy providing CPE classroom training, workshops and consulting on internal controls, internal auditing and accounting related subjects. We have focused on SOX, COSO, PCAOB, COBIT, GRC, IFRS, AICPA, GAO and IIA Standards.

Our programs are CPE for professionals with CPA, CGA, CIA, CFE, CISA, CMA and CA designations.

Corporate Compliance Seminars presents CPE to auditors, compliance and IT professionals, Boards of Directors and Audit Committees. We examine the details of risk management, Sarbanes-Oxley Act compliance, Model Audit Rule compliance, auditing, internal controls, IT security and compliance, and fraud prevention and detection.

Corporate Compliance Seminars allows the attendee to earn Official NASBA CPE credit.

Our seminars focus on the details of the Sarbanes-Oxley Act of 2002 (SOX), Internal Controls over Financial Reporting (ICFR), Committee of Sponsoring Organizations of the Treadway Commission (COSO) Internal Control Frameworks, ISACA's Control Objectives over Information Technology (COBIT), Information Technology Infrastructure Library (ITIL), Open Compliance & Ethics Group's (OCEG) Governance, Risk & Compliance (GRC) methodology, PCAOB's Auditing Standard 5 (AS5), AICPA auditing standards and the future conversion from GAAP to the International Financial Reporting Standards (IFRS).

Our seminars provide CPE for the CPA, CFE, CIA, CISA, auditors and others with effective and engaging training.

 

"Please contact the event manager Marilyn (marilyn.b.turner(at)nyeventslist.com ) below for:

- Multiple participant discounts

- Price quotations or visa invitation letters

- Payment by alternate channels (PayPal, check, Western Union, wire transfers etc)

- Event sponsorships

NO REFUNDS/TRANSFERS ALLOWED ON REGISTRATIONS

Prices may go up any time. Service fees included in pricing.

-----------------------------------------------------------------

This event is brought to you by:

Corporate Compliance Seminars - NewYorkEventsList

http://www.nyeventslist.com

http://www.bostoneventslist.com

http://www.sfbayeventslist.com

-----------------------------------------------------------------"

 

ELA191202CEV

Reference:

https://www.eventbrite.dk/e/the-gao-green-book-compliance-training-academy-arlington-va-ccs-tickets-84594738139

Using COSO for Compliance & SOX Training Course- Washington, DC - (CCS)


Using COSO for Compliance & SOX Training Course

About this Event

COSO Three-Day CPE Course

Join us for a unique, interactive workshop that "walks you through" the latest update of the Internal Control Integrated Framework (ICIF 2.0) of the Committee of Sponsoring Organizations of the Treadway Commission (COSO).

This course is for business professionals who work for public corporations that are required to comply with the Sarbanes-Oxley Act (SOX), as well as non-public organizations. Our comprehensive training is for anyone in audit, compliance, accounting, information technology, etc. who wants to obtain a solid understanding of the COSO internal controls that help organizations reduce risk. We present the roadmap to COSO compliance and documentation based on textbook approaches and real-world guidance from our client engagements. Each attendee will go home with a set of 36 documents that were used to create the workshop.

Relax, learn and enjoy through expert instructor presentations, group discussions, role-playing, audit and compliance exercises, white-board diagramming and simulations.

 

Benefits of Attending

This course, offered by the leading authority in the COSO Internal Control Framework, Corporate Compliance Seminars (CCS), moves the participants thru the COSO framework and covers how to design, implementation, and maintenance of a successful internal control system.

This principles-based course, in a live classroom, encourages participants to think about the COSO Framework in terms of their own entities while covering a variety of topics including types of objectives, components of internal control, principles and points of focus, roles and responsibilities, and limitations of internal control.

 

Seminar Highlights

- Top Down risk-based Approach Defined

- Best Practices to Control Environment Documentation and Assessment

- Entity Level Control Documentation

- Risk Assessment Documentation

- How to Manage Communication with External Auditors and Audit Committee

- Workshops focused on Major Deliverables

 

Learning Objectives

 

- Attendees will understand top down assessments and their application

- Attendees will learn the compliance requirements of the Sarbanes-Oxley Act

- Attendees will discuss relationship with their external auditors under Audit Standard 5

- Attendees will identify methods for improving their internal control frameworks

 

Key Issues on the Agenda

Introductions

Section 1 - Introduction and Overview

- About Us and About Your Instructor

- Who are You? What are Your Needs?

- Overview of Agenda Tailored to Your Needs

 

Section 2 - History Lesson

- What is "Internal Control" and Why Are Controls So Important?

- What is "Risk"? Can Risk Be Managed?

- Background of Internal Control Legislation

- Regulatory Requirements from the SEC, PCAOB and Others

- History of the COSO Committee

 

Section 3 - The COSO ICIF: Then and Now

- Why was the COSO ICIF Developed?

- The Original Framework

- What Happened to Prompt the Update?

- The Current Framework

 

Section 4 - Compliance Methodologies

- Control-Based

- Coverage-Based

- Risk-Based

- Case Studies

- Discussion of Preferred Methods

 

Section 5 - Sarbanes-Oxley Act

- What Happened in Year 2000?

- The Details of the SOX Act

- Compliance Requirements

- Whistleblower Activity

- Benefits of SOX Compliance

 

Section 6 - The Watchdog: PCAOB

- Who are "They" and why were "They" formed?

- The PCAOB Perspective

- Enforcement Action - Dealing with External Auditors

- PCAOB Alerts

 

Section 7 - COSO "Control Environment"

- What is Your "Tone of Control"

- The Influence of Entity Controls

 

Section 8 - COSO "Risk Assessment"

- Guidance from COSO ERM

- Defining, Documenting and Assessing Risk

 

Section 9 - COSO "Control Activities"

- What are Control Activities?

- The Seven Layers of Control

- Testing and Documenting the Controls

- The Design of Controls

- The Operation of Controls

- Assessing the Effectiveness of Controls

 

Section 10 - COSO "Information and Communication"

- What Gets Communicated? When? To Whom?

- Up, Down and Outside the Organization

 

Section 11 - COSO "Monitoring Activities"

- What Should Be Monitored? When? How? Who?

- Case Studies

 

Section 12 - Planning the COSO Compliance Assessment

- Project Management Methodologies

- Defining Your Risks

- Assessing Risk in Your Organization

- Determining the Risk Response

- Documenting the Plan

 

Section 13 - Performing the Assessment

- Assessing Entity Level Controls

- Assessing Process Level Controls

- Assessing IT General Controls

- Assessing the Segregation of Duties

- Internal Control Testing

- Sampling Techniques - Documentation Examples

 

Section 14 - Concluding the Assessment

- Evaluating Internal Control Deficiencies

- What is the Severity?

- CAPs and Accountability

- Remediation Activity

- Re-Testing

- Opining

- Summarizing for Executives and Boards

 

Section 15 - Documentation

- Control and Compliance Self-Assessments

- The Maturity Model

- How Do We Document COSO Compliance?

- Client Examples

 

Section 16 - Summary, Wrap-Up and Going Forward

- Recap of COSO Compliance

- Adjusting Compliance in Subsequent Years

- Your Roadmap to Success!

 

Corporate Compliance Seminars has been created by experts who enjoy providing CPE classroom training, workshops and consulting on internal controls, internal auditing and accounting related subjects. We have focused on SOX, COSO, PCAOB, COBIT, GRC, IFRS, AICPA, GAO and IIA Standards.

Our programs are CPE for professionals with CPA, CGA, CIA, CFE, CISA, CMA and CA designations.

Corporate Compliance Seminars presents CPE to auditors, compliance and IT professionals, Boards of Directors and Audit Committees. We examine the details of risk management, Sarbanes-Oxley Act compliance, Model Audit Rule compliance, auditing, internal controls, IT security and compliance, and fraud prevention and detection.

Corporate Compliance Seminars allows the attendee to earn Official NASBA CPE credit.

Our seminars focus on the details of the Sarbanes-Oxley Act of 2002 (SOX), Internal Controls over Financial Reporting (ICFR), Committee of Sponsoring Organizations of the Treadway Commission (COSO) Internal Control Frameworks, ISACA's Control Objectives over Information Technology (COBIT), Information Technology Infrastructure Library (ITIL), Open Compliance & Ethics Group's (OCEG) Governance, Risk & Compliance (GRC) methodology, PCAOB's Auditing Standard 5 (AS5), AICPA auditing standards and the future conversion from GAAP to the International Financial Reporting Standards (IFRS).

Our seminars provide CPE for the CPA, CFE, CIA, CISA, auditors and others with effective and engaging training.

 

 

"Please contact the event manager Marilyn (marilyn.b.turner(at)nyeventslist.com ) below for:

- Multiple participant discounts

- Price quotations or visa invitation letters

- Payment by alternate channels (PayPal, check, Western Union, wire transfers etc)

- Event sponsorships

NO REFUNDS/TRANSFERS ALLOWED ON REGISTRATIONS

Prices may go up any time. Service fees included in pricing.

-----------------------------------------------------------------

This event is brought to you by:

Corporate Compliance Seminars - NewYorkEventsList

http://www.nyeventslist.com

http://www.bostoneventslist.com

http://www.sfbayeventslist.com

-----------------------------------------------------------------"

 

ELA191203CEV

Reference:

https://www.eventbrite.dk/e/using-coso-for-compliance-sox-training-course-washington-dc-ccs-tickets-84740413859

Internal Auditor Basic Training Workshop - Washington, DC - (CCS)


Internal Auditor Basic Training Workshop

About this Event

Join us for a unique, interactive course that "walks you through" the Internal Audit process. The instructors focus on bring out the "tradecraft" needed to be an effective and efficient internal auditor.

This comprehensive internal audit training course is for anyone who wants to have a strong base of knowledge and understanding of the essential audit and the personal skills to become a successful internal auditor.

We present the "Audit Life Cycle": Discover how audits are planned (based on an assessment of risk); how audits are conducted (fieldwork including interviewing, identifying internal controls, methods of testing, audit sampling, workpaper documentation); how audits are reported (identifying, prioritizing and communicating internal control deficiencies); and how to follow up on audit findings.

Relax and learn through expert instructor presentations, group discussions, role-playing, audit exercises, white-board diagramming and simulations.

We present this event in over 40 locations each year to an average of four attendees per event. We have this delivery approach to allow for a focus on individual development and learning from our very experienced auditor educators.

This timely, three-day CPE training seminar is designed for the new internal auditor and individuals who have to create effective audit workpapers in performing internal audits and then communicate the results to management.

 

Seminar Highlights

. What are Auditing Standards?

. Understanding Risk Assessment.

. Understanding the elements of an effective organizational culture.

. Best Practices in creating an internal audit function.

. Best Practices in conducting audit fieldwork.

. Best Practices for testing internal controls and business processes.

. Audit verbal and written communications defined.

. Best Practices for testing internal controls.

. Best Practices in creating internal audit reporting tools.

. What to include and not include in each audit report.

. Essential sections of each type of audit report.

. How to properly document credibility determinations.

. Principles of clear and concise reporting.

Event Learning Objectives

. Understand why the internal audit function exists as a major entity level control.

. Review the different standards that can be applied to the audit function: IIA, PCAOB, Yellow Book, Green Book, COSO, ISACA, ISO, NIST, etc.

. How to identify risks at all levels in the Enterprise Risk Model.

. How to categorize risk and construct an effective internal audit plan that has both strategic and tactical goals.

. Understand how auditors are not the managers of an organization.

. Learn the Dr. Kotter's Eight Stage Process to guide the internal audit functions role in creating positive changes in an organization.

. Understand how an audit is conducted.

. Understand how to use the S.P.I.N (Situation - Problem - Implication - Need) in interviewing and documenting audit findings.

. Understand how to create mature business and administrative processes using the elements of a maturity model.

. How to evaluate and document internal controls.

. Knowledge of the best techniques for gathering audit evidence.

. See the importance of preparing quality workpapers.

. Discuss interpersonal and team-building skills.

. Understand how to motivate management to create effective "Management Action Plans" concerning audit findings.

. Review how to create an effective executive summary that calls for executive action concerning audit findings.

. Understand how to create effective communication elements.

Key Issues on the Agenda

 

Introduction

. About Us and About Your Instructor

. Who are You? What are Your Needs?

. Three Lines of Defense

. The Individual Audit Life Cycle

. Tradecraft for the Internal Auditor

Section 1 - Overview of Internal Audit Function

. History of Auditing

. Today's Internal Auditors

. What is "Internal Auditing"?

. The Effective Internal Audit Function

. Predictions for the Next Ten Years

. Professional Guidance Sources

. The "Thing" About Standards

. Guidance from the IIA

. IIA Code of Ethics

. Legislative Guidance: Sarbanes-Oxley Act

. What is "Internal Control"?

. COSO 2013 Guidance

. Major Internal Control Regulations

. Why Do Organizations Need Internal Controls?

. Information Technology Framework - COBIT

. What I/A Serivces Should Be Provided?

. What Types of Internal Audits Are Conducted?

. Accounting vs Auditing

. Dr. Kotter's Eight Steps to Organizational Change

Section 2 - Understanding Risk Management

. Myth's About Auditing

. What is Risk?

. Layers of Risk Management

. Dimensions of Risk at All Levels

. Business Objective - Risk - Control - Residual Risk

. What is the Maturity of the ERM Program

. Recognise the Categoies of Internal Control

. COSO Risk Assessment Principles

. COSO Control Environment Principles

. COSO Control Activities Principles

. COSO Information and Communication Principles

. COSO Monitoring Activities Principles

. "Heat Map" the Risks

. Pareto's Principle - The 80% 15% 5% Rule

. How Does the SEC Look at Deficiencies

Section 3 - Inside the Internal Audit Function

. Responsibilities - Management - External Audit - Internal Audit

. Internal Audit Department "Situation"

. What is the Hierarchy?

. Audit Committee Expectations

. What Skills Should Auditors Possess?

. Auditor Personality Profile

. Audit Software

. Flowchart the Process?

. Internal Audit vs. External Audit

. Does Your Orgnization Have a Financial Statement Audit?

. External Auditors Focus on "Materiality" and "Misstatements" in Financial Reports

. How to calculate what is "Materiality"?

. To Comply with GAAS, the External Auditor Must.

. To Comply with GAAS, the External Auditor Must.

Section 4 - Planning the Audit Function Coverage and Assessing Risk

. The Internal Audit "Life Cycle"

. Internal Audit Must Look into the Future.

. Conduct an "Internal Audit Risk Assessment"

. COSO's Focus is on Risk Management

. What are Management's Responses to Risks?

. Strategic Audit Planning

. Assess the Areas of Audit Risk

. So.How can controls fail? Why?

Section 5 - Detailed Individual Audit Planning

. Individual Internal Audit Planning Process

. Detailed Planning of Individual Audits

. Review the "Business Process Narratives"?

. Business Process Documentation

. Control Self Assessment Questionnaires

. Business Process Assertions

. Recognize the Important Internal Controls

. How Can Auditors Manage Risk?

. Where Can We Obtain Audit Procedures?

. Document Audit Procedures

. Tailor Your Audit Procedures based on the.

. Example of an Audit Procedure

. Audit Planning Memorandum

. Deliverables from the Planning Phase

Section 6 - Conducting the Internal Audit Fieldwork

. What Does "Audit" Mean"?

. Start the Audit Fieldwork

. Establish Fieldwork Guidelines

. The Auditee Needs to Present Their "Heat-Map"

. Conduct a "Walk-Through"

. Obtain Departmental Procedures

. Business Process Maturity

. How Should We Communicate with Audit Clients?

. Is the Interviewee Being Honest?

. The Deception Detection Obstacle Course

. What Deception Sounds Like

. What Deception Looks Like

. What "Fieldwork" Skills are Important?

. The Effective Audit Interviews

. "S.P.I.N." Audit Interviewing

. "S" - Situation Questions

. "P" - Open Ended Problem Questions

. "I" - Implication Questions

. "N" - What needs to be done?

. Sort Through the Interview

Section 7 - Testing the Controls in Business and Administrative Processes

. Business Processes are Grouped into "Cycles"

. Examples of Internal Controls for Business Processes

. Examples of "Entity-Level" Controls

. Fieldwork: Gather "Audit Evidence"

. Quality of "Audit Evidence"

. What are the Methods of Internal Control Testing?

. How "Effective" is the Control?

. How "Mature" is the Business Process

. What is the Sample Size for Testing Controls?

. Audit "Workpapers"

. Key Elements for Workpapers

. Essential Workpaper Characteristics

. Check Your Workpapers

. Workpaper Review - Common Issues

Section 8 - Workpapers Concerning Internal Audit Findings

. What is Professional Skepticism!

. What is the "Criteria" to Define the Finding?

. Document the Exceptions/ Findings

. Describe the Issue - The "Six Cs"

. Observations, Findings and Action Matrix

. What is the "Condition" of the Finding?

. Obtain a Confirmation of the Audit Findings

. Getting to the "Facts"

. Sample Workpaper: Summary of Findings

. What are the SEC Deficiencies?

. Examples of Risk-Ranked Findings

. What is the "Cause" of the Finding?

. Sample Workpaper: Summary of Causes

. What are the Root Cause Analysis Methods?

. The Five Whys

. What is the "Consequence" of the Finding?

. Sample Workpaper: Consequence

. Consequence - What is the Risk?

. Make the Recommendation SMART!

. Management Action Plans (MAPs)

. Findings Summary Table

. Ending the Fieldwork

. Deliverables from the "Doing" Phase

Section 9 - Individual Internal Audit Project Examples

. Operational Auditing

. How Do We Perform Operational Audits?

. Revenue Cycle

. P2P and Supply Chain Risk

. What are Compliance and Performance Audits?

. Fraud Audits..Where Do We Start?

. Categories of IT Controls

. Documentation and Testing of IT Controls

Section 10 - The Audit Communications Phase

. How to Write a BAD Audit Report

. What is a "Report"?

. How Effective are your Audit Reports?

. What is an "Status Report"?

. Auditor Guidance for Report Writing

. IIA Guidance on Internal Audit Reporting

. So.Why Do We Write Audit Reports?

. Change the Organization!

Section 11 - Making Audit Communications Effective

. Feelings

. How Can We Improve Our Audit Communication Skills?

. Say It Better!

. Who are the Recipients of Our Audit Reports?

. Write for Your Audience

. Organize the Content for Your Audience

. Is This Acceptable for Your Audience?

. Improving "Audience Adaptation"?

Section 12 - Components of the Audit Report

. The Internal Audit "Life Cycle"

. The "Audit Trail" to the Report

. Sections of the Audit Report

. Example of Dave's Cover Page

. Executive Summary

. Internal Audit Summary

. Audit Findings

. Management Action Plans

. Appendices

Section 13 - The High Level Focus: Executive Summary - Audit Summary

. Summary Sections

. Value Creator Executive Summaries

. Executive Summary - Section One - Focus the message on Risk, Governance and Strategy

. Executive Summary - Section Two - Focus the message on strengths, compliance and challenges

. Executive Summary - Section Three - Focus the message on Action!

. Summary Table of the Issues

. Audit Summary

. Identify the Audit Objectives

. Audit Scope Limitations

. Opinion Statement

. How Can We Write Effective Summaries?

Section 14 - The Hard Facts: Audit Findings

. What is an "Audit Finding"?

. Is the Finding Feasible?

. How "Effective" is the Control?

. What are the Deficiencies?

. Examples of Risk-Ranked Findings

. "We Have a Finding!"

. How Can We Write More Effective Audit Findings?

. "Condition" Statements

. What is the "Condition" of the Finding?

. Detailed Description of "Condition"

. How Can We Write STRONGER "Condition" Statements?

. What is the "Criteria" of the Finding?

. What is the "Cause" of the Finding?

. Proximate - Intermediate - Root Cause

. What is the "Consequence" of the Finding?

. Consequence - What is the Risk?

. "Consequence"; "Effect"

. The Root Cause Groupings Lead to Corporate Cultural Issues

Section 15 - Audit Opinion and Ratings

. What is an Audit Opinion?

. Audit Rating, Score or Grade

. Should Each Finding Be Risk-Rated?

. "CMMI" Levels of Maturity

. We Can Measure "Control Maturity"?

. "CMMI" Levels of Maturity

. Internal Control Reliability Model

. Rating with the "Internal Control Maturity Model"

Section 16 - Audit Report Formatting

. Do We Have Audit Report Format Standards?

. Font Type and Size

. Text Justification

. Format for the "Findings and Recommendations" Section

. "Paragraph" Formal

. "Mapped" Format?

. "Matrix" Format

. "Bullet" Format

. Format According to the Audit Type

. Special Reports

Section 19 - Optimizing the Audit Report

. Optimizing the Report

. Apply the IPPF Guidance

. Optimize the Visual Presentation

. Optimize the Cover Page

. Optimize the Report Structure

. Optimize the Readability

. Optimize the "Sequencing"

. Optimize the Flow

. Optimize the Wording

. Optimize the Paragraphs

. Optimize the Sentences

. Optimize the Content

. Clarity

. Clarity and Conciseness

. Coherence

. Conciseness and Word Economy

. Report Optimization - Verb Tense

. Optimize the Tone

. Proof Read Carefully!

. Peer-Review the Report

. Optimize Format to the Visual Person

. Finalize the Report

. Do We Formally Follow Up?

. 10 Things Internal Auditors Should Not Say.

Section 18 - Summary and Wrap-Up

. The "Audit Life Cycle"

. Dave's Keys to Being a Successful Auditor

. 10 Keys to successful internal auditing

. The Audit Report.

. 10 Keys to Successful Audit Reporting

. Stay "On Top of Your Game"

. The Auditing Profession

. Do We Maintain Ongoing Relationships?

Corporate Compliance Seminars has been created by experts who enjoy providing CPE classroom training, workshops and consulting on internal controls, internal auditing and accounting related subjects. We have focused on SOX, COSO, PCAOB, COBIT, GRC, IFRS, AICPA, GAO and IIA Standards.

Our programs are CPE for professionals with CPA, CGA, CIA, CFE, CISA, CMA and CA designations.

Corporate Compliance Seminars presents CPE to auditors, compliance and IT professionals, Boards of Directors and Audit Committees. We examine the details of risk management, Sarbanes-Oxley Act compliance, Model Audit Rule compliance, auditing, internal controls, IT security and compliance, and fraud prevention and detection.

Corporate Compliance Seminars allows the attendee to earn Official NASBA CPE credit.

Our seminars focus on the details of the Sarbanes-Oxley Act of 2002 (SOX), Internal Controls over Financial Reporting (ICFR), Committee of Sponsoring Organizations of the Treadway Commission (COSO) Internal Control Frameworks, ISACA's Control Objectives over Information Technology (COBIT), Information Technology Infrastructure Library (ITIL), Open Compliance & Ethics Group's (OCEG) Governance, Risk & Compliance (GRC) methodology, PCAOB's Auditing Standard 5 (AS5), AICPA auditing standards and the future conversion from GAAP to the International Financial Reporting Standards (IFRS).

Our seminars provide CPE for the CPA, CFE, CIA, CISA, auditors and others with effective and engaging training.

 

 

 

"Please contact the event manager Marilyn (marilyn.b.turner(at)nyeventslist.com ) below for:

- Multiple participant discounts

- Price quotations or visa invitation letters

- Payment by alternate channels (PayPal, check, Western Union, wire transfers etc)

- Event sponsorships

NO REFUNDS/TRANSFERS ALLOWED ON REGISTRATIONS

Prices may go up any time. Service fees included in pricing.

-----------------------------------------------------------------

This event is brought to you by:

Corporate Compliance Seminars - NewYorkEventsList

http://www.nyeventslist.com

http://www.bostoneventslist.com

http://www.sfbayeventslist.com

-----------------------------------------------------------------"

 

ELA191212CEV

Reference:

https://www.eventbrite.dk/e/internal-auditor-basic-training-workshop-washington-dc-ccs-tickets-85966402825

Internal Auditor Basic Training Workshop -Fulton - Columbia, MD - (CCS)


Internal Auditor Basic Training Workshop

About this Event

Join us for a unique, interactive course that "walks you through" the Internal Audit process. The instructors focus on bring out the "tradecraft" needed to be an effective and efficient internal auditor.

This comprehensive internal audit training course is for anyone who wants to have a strong base of knowledge and understanding of the essential audit and the personal skills to become a successful internal auditor.

We present the "Audit Life Cycle": Discover how audits are planned (based on an assessment of risk); how audits are conducted (fieldwork including interviewing, identifying internal controls, methods of testing, audit sampling, workpaper documentation); how audits are reported (identifying, prioritizing and communicating internal control deficiencies); and how to follow up on audit findings.

Relax and learn through expert instructor presentations, group discussions, role-playing, audit exercises, white-board diagramming and simulations.

We present this event in over 40 locations each year to an average of four attendees per event. We have this delivery approach to allow for a focus on individual development and learning from our very experienced auditor educators.

This timely, three-day CPE training seminar is designed for the new internal auditor and individuals who have to create effective audit workpapers in performing internal audits and then communicate the results to management.

 

Seminar Highlights

. What are Auditing Standards?

. Understanding Risk Assessment.

. Understanding the elements of an effective organizational culture.

. Best Practices in creating an internal audit function.

. Best Practices in conducting audit fieldwork.

. Best Practices for testing internal controls and business processes.

. Audit verbal and written communications defined.

. Best Practices for testing internal controls.

. Best Practices in creating internal audit reporting tools.

. What to include and not include in each audit report.

. Essential sections of each type of audit report.

. How to properly document credibility determinations.

. Principles of clear and concise reporting.

Event Learning Objectives

. Understand why the internal audit function exists as a major entity level control.

. Review the different standards that can be applied to the audit function: IIA, PCAOB, Yellow Book, Green Book, COSO, ISACA, ISO, NIST, etc.

. How to identify risks at all levels in the Enterprise Risk Model.

. How to categorize risk and construct an effective internal audit plan that has both strategic and tactical goals.

. Understand how auditors are not the managers of an organization.

. Learn the Dr. Kotter's Eight Stage Process to guide the internal audit functions role in creating positive changes in an organization.

. Understand how an audit is conducted.

. Understand how to use the S.P.I.N (Situation - Problem - Implication - Need) in interviewing and documenting audit findings.

. Understand how to create mature business and administrative processes using the elements of a maturity model.

. How to evaluate and document internal controls.

. Knowledge of the best techniques for gathering audit evidence.

. See the importance of preparing quality workpapers.

. Discuss interpersonal and team-building skills.

. Understand how to motivate management to create effective "Management Action Plans" concerning audit findings.

. Review how to create an effective executive summary that calls for executive action concerning audit findings.

. Understand how to create effective communication elements.

Key Issues on the Agenda

 

Introduction

. About Us and About Your Instructor

. Who are You? What are Your Needs?

. Three Lines of Defense

. The Individual Audit Life Cycle

. Tradecraft for the Internal Auditor

Section 1 - Overview of Internal Audit Function

. History of Auditing

. Today's Internal Auditors

. What is "Internal Auditing"?

. The Effective Internal Audit Function

. Predictions for the Next Ten Years

. Professional Guidance Sources

. The "Thing" About Standards

. Guidance from the IIA

. IIA Code of Ethics

. Legislative Guidance: Sarbanes-Oxley Act

. What is "Internal Control"?

. COSO 2013 Guidance

. Major Internal Control Regulations

. Why Do Organizations Need Internal Controls?

. Information Technology Framework - COBIT

. What I/A Serivces Should Be Provided?

. What Types of Internal Audits Are Conducted?

. Accounting vs Auditing

. Dr. Kotter's Eight Steps to Organizational Change

Section 2 - Understanding Risk Management

. Myth's About Auditing

. What is Risk?

. Layers of Risk Management

. Dimensions of Risk at All Levels

. Business Objective - Risk - Control - Residual Risk

. What is the Maturity of the ERM Program

. Recognise the Categoies of Internal Control

. COSO Risk Assessment Principles

. COSO Control Environment Principles

. COSO Control Activities Principles

. COSO Information and Communication Principles

. COSO Monitoring Activities Principles

. "Heat Map" the Risks

. Pareto's Principle - The 80% 15% 5% Rule

. How Does the SEC Look at Deficiencies

Section 3 - Inside the Internal Audit Function

. Responsibilities - Management - External Audit - Internal Audit

. Internal Audit Department "Situation"

. What is the Hierarchy?

. Audit Committee Expectations

. What Skills Should Auditors Possess?

. Auditor Personality Profile

. Audit Software

. Flowchart the Process?

. Internal Audit vs. External Audit

. Does Your Orgnization Have a Financial Statement Audit?

. External Auditors Focus on "Materiality" and "Misstatements" in Financial Reports

. How to calculate what is "Materiality"?

. To Comply with GAAS, the External Auditor Must.

. To Comply with GAAS, the External Auditor Must.

Section 4 - Planning the Audit Function Coverage and Assessing Risk

. The Internal Audit "Life Cycle"

. Internal Audit Must Look into the Future.

. Conduct an "Internal Audit Risk Assessment"

. COSO's Focus is on Risk Management

. What are Management's Responses to Risks?

. Strategic Audit Planning

. Assess the Areas of Audit Risk

. So.How can controls fail? Why?

Section 5 - Detailed Individual Audit Planning

. Individual Internal Audit Planning Process

. Detailed Planning of Individual Audits

. Review the "Business Process Narratives"?

. Business Process Documentation

. Control Self Assessment Questionnaires

. Business Process Assertions

. Recognize the Important Internal Controls

. How Can Auditors Manage Risk?

. Where Can We Obtain Audit Procedures?

. Document Audit Procedures

. Tailor Your Audit Procedures based on the.

. Example of an Audit Procedure

. Audit Planning Memorandum

. Deliverables from the Planning Phase

Section 6 - Conducting the Internal Audit Fieldwork

. What Does "Audit" Mean"?

. Start the Audit Fieldwork

. Establish Fieldwork Guidelines

. The Auditee Needs to Present Their "Heat-Map"

. Conduct a "Walk-Through"

. Obtain Departmental Procedures

. Business Process Maturity

. How Should We Communicate with Audit Clients?

. Is the Interviewee Being Honest?

. The Deception Detection Obstacle Course

. What Deception Sounds Like

. What Deception Looks Like

. What "Fieldwork" Skills are Important?

. The Effective Audit Interviews

. "S.P.I.N." Audit Interviewing

. "S" - Situation Questions

. "P" - Open Ended Problem Questions

. "I" - Implication Questions

. "N" - What needs to be done?

. Sort Through the Interview

Section 7 - Testing the Controls in Business and Administrative Processes

. Business Processes are Grouped into "Cycles"

. Examples of Internal Controls for Business Processes

. Examples of "Entity-Level" Controls

. Fieldwork: Gather "Audit Evidence"

. Quality of "Audit Evidence"

. What are the Methods of Internal Control Testing?

. How "Effective" is the Control?

. How "Mature" is the Business Process

. What is the Sample Size for Testing Controls?

. Audit "Workpapers"

. Key Elements for Workpapers

. Essential Workpaper Characteristics

. Check Your Workpapers

. Workpaper Review - Common Issues

Section 8 - Workpapers Concerning Internal Audit Findings

. What is Professional Skepticism!

. What is the "Criteria" to Define the Finding?

. Document the Exceptions/ Findings

. Describe the Issue - The "Six Cs"

. Observations, Findings and Action Matrix

. What is the "Condition" of the Finding?

. Obtain a Confirmation of the Audit Findings

. Getting to the "Facts"

. Sample Workpaper: Summary of Findings

. What are the SEC Deficiencies?

. Examples of Risk-Ranked Findings

. What is the "Cause" of the Finding?

. Sample Workpaper: Summary of Causes

. What are the Root Cause Analysis Methods?

. The Five Whys

. What is the "Consequence" of the Finding?

. Sample Workpaper: Consequence

. Consequence - What is the Risk?

. Make the Recommendation SMART!

. Management Action Plans (MAPs)

. Findings Summary Table

. Ending the Fieldwork

. Deliverables from the "Doing" Phase

Section 9 - Individual Internal Audit Project Examples

. Operational Auditing

. How Do We Perform Operational Audits?

. Revenue Cycle

. P2P and Supply Chain Risk

. What are Compliance and Performance Audits?

. Fraud Audits..Where Do We Start?

. Categories of IT Controls

. Documentation and Testing of IT Controls

Section 10 - The Audit Communications Phase

. How to Write a BAD Audit Report

. What is a "Report"?

. How Effective are your Audit Reports?

. What is an "Status Report"?

. Auditor Guidance for Report Writing

. IIA Guidance on Internal Audit Reporting

. So.Why Do We Write Audit Reports?

. Change the Organization!

Section 11 - Making Audit Communications Effective

. Feelings

. How Can We Improve Our Audit Communication Skills?

. Say It Better!

. Who are the Recipients of Our Audit Reports?

. Write for Your Audience

. Organize the Content for Your Audience

. Is This Acceptable for Your Audience?

. Improving "Audience Adaptation"?

Section 12 - Components of the Audit Report

. The Internal Audit "Life Cycle"

. The "Audit Trail" to the Report

. Sections of the Audit Report

. Example of Dave's Cover Page

. Executive Summary

. Internal Audit Summary

. Audit Findings

. Management Action Plans

. Appendices

Section 13 - The High Level Focus: Executive Summary - Audit Summary

. Summary Sections

. Value Creator Executive Summaries

. Executive Summary - Section One - Focus the message on Risk, Governance and Strategy

. Executive Summary - Section Two - Focus the message on strengths, compliance and challenges

. Executive Summary - Section Three - Focus the message on Action!

. Summary Table of the Issues

. Audit Summary

. Identify the Audit Objectives

. Audit Scope Limitations

. Opinion Statement

. How Can We Write Effective Summaries?

Section 14 - The Hard Facts: Audit Findings

. What is an "Audit Finding"?

. Is the Finding Feasible?

. How "Effective" is the Control?

. What are the Deficiencies?

. Examples of Risk-Ranked Findings

. "We Have a Finding!"

. How Can We Write More Effective Audit Findings?

. "Condition" Statements

. What is the "Condition" of the Finding?

. Detailed Description of "Condition"

. How Can We Write STRONGER "Condition" Statements?

. What is the "Criteria" of the Finding?

. What is the "Cause" of the Finding?

. Proximate - Intermediate - Root Cause

. What is the "Consequence" of the Finding?

. Consequence - What is the Risk?

. "Consequence"; "Effect"

. The Root Cause Groupings Lead to Corporate Cultural Issues

Section 15 - Audit Opinion and Ratings

. What is an Audit Opinion?

. Audit Rating, Score or Grade

. Should Each Finding Be Risk-Rated?

. "CMMI" Levels of Maturity

. We Can Measure "Control Maturity"?

. "CMMI" Levels of Maturity

. Internal Control Reliability Model

. Rating with the "Internal Control Maturity Model"

Section 16 - Audit Report Formatting

. Do We Have Audit Report Format Standards?

. Font Type and Size

. Text Justification

. Format for the "Findings and Recommendations" Section

. "Paragraph" Formal

. "Mapped" Format?

. "Matrix" Format

. "Bullet" Format

. Format According to the Audit Type

. Special Reports

Section 19 - Optimizing the Audit Report

. Optimizing the Report

. Apply the IPPF Guidance

. Optimize the Visual Presentation

. Optimize the Cover Page

. Optimize the Report Structure

. Optimize the Readability

. Optimize the "Sequencing"

. Optimize the Flow

. Optimize the Wording

. Optimize the Paragraphs

. Optimize the Sentences

. Optimize the Content

. Clarity

. Clarity and Conciseness

. Coherence

. Conciseness and Word Economy

. Report Optimization - Verb Tense

. Optimize the Tone

. Proof Read Carefully!

. Peer-Review the Report

. Optimize Format to the Visual Person

. Finalize the Report

. Do We Formally Follow Up?

. 10 Things Internal Auditors Should Not Say.

Section 18 - Summary and Wrap-Up

. The "Audit Life Cycle"

. Dave's Keys to Being a Successful Auditor

. 10 Keys to successful internal auditing

. The Audit Report.

. 10 Keys to Successful Audit Reporting

. Stay "On Top of Your Game"

. The Auditing Profession

. Do We Maintain Ongoing Relationships?

Corporate Compliance Seminars has been created by experts who enjoy providing CPE classroom training, workshops and consulting on internal controls, internal auditing and accounting related subjects. We have focused on SOX, COSO, PCAOB, COBIT, GRC, IFRS, AICPA, GAO and IIA Standards.

Our programs are CPE for professionals with CPA, CGA, CIA, CFE, CISA, CMA and CA designations.

Corporate Compliance Seminars presents CPE to auditors, compliance and IT professionals, Boards of Directors and Audit Committees. We examine the details of risk management, Sarbanes-Oxley Act compliance, Model Audit Rule compliance, auditing, internal controls, IT security and compliance, and fraud prevention and detection.

Corporate Compliance Seminars allows the attendee to earn Official NASBA CPE credit.

Our seminars focus on the details of the Sarbanes-Oxley Act of 2002 (SOX), Internal Controls over Financial Reporting (ICFR), Committee of Sponsoring Organizations of the Treadway Commission (COSO) Internal Control Frameworks, ISACA's Control Objectives over Information Technology (COBIT), Information Technology Infrastructure Library (ITIL), Open Compliance & Ethics Group's (OCEG) Governance, Risk & Compliance (GRC) methodology, PCAOB's Auditing Standard 5 (AS5), AICPA auditing standards and the future conversion from GAAP to the International Financial Reporting Standards (IFRS).

Our seminars provide CPE for the CPA, CFE, CIA, CISA, auditors and others with effective and engaging training.

 

 

 

"Please contact the event manager Marilyn (marilyn.b.turner(at)nyeventslist.com ) below for:

- Multiple participant discounts

- Price quotations or visa invitation letters

- Payment by alternate channels (PayPal, check, Western Union, wire transfers etc)

- Event sponsorships

NO REFUNDS/TRANSFERS ALLOWED ON REGISTRATIONS

Prices may go up any time. Service fees included in pricing.

-----------------------------------------------------------------

This event is brought to you by:

Corporate Compliance Seminars - NewYorkEventsList

http://www.nyeventslist.com

http://www.bostoneventslist.com

http://www.sfbayeventslist.com

-----------------------------------------------------------------"

 

ELA191120CEV

Reference:

https://www.eventbrite.dk/e/internal-auditor-basic-training-workshop-fulton-columbia-md-ccs-tickets-82968132919

Cybersecurity Technical Excellence -Risk Mgmt - Fulton- Columbia,MD(CCS)


Cybersecurity Technical Excellence - Risk Management Options

About this Event

"How can we implement a holistic approach to cybersecurity?"

"What methodologies, policies, technologies, and specific tools can we deploy to prevent, detect and monitor cybersecurity threats"?

"How can we build a more effective program?"

As more data breaches are disclosed, cybersecurity is at the forefront of Boards, executives, employees and consumers. Breaches are a continuing threat to an organization's reputation through the disclosure of intellectual property and non-public, confidential information. Organizations must remain vigilant in their attempt to prevent a cyberattack and minimize the damage once it occurs. We must raise the awareness of threats and harden our defenses.

As attacks develop, so do awareness and defensive tools. To help you be more proactive in maturing your cybersecurity program we have created this training academy on the best tips or applications to improve cybersecurity at your business.

 

This training program focuses on the policies and software tools needed in a the effective modern cybersecurity risk management program.

We have divide the program into the following tool groups:

. Hardware security

. Data encryption at rest

. Around-the-clock monitoring

. Cybersecurity education

. User Access

. Phishing threats

. Two-factor authentication

. Intrusion detection systems

. System & Application Items

. Insider threat protection

. Self-service

This comprehensive training course is for anyone who wants to have a strong base of knowledge and understanding of the essentials of cybersecurity risk management. We cover an overview of ten principles that need to be considered within a Cybersecurity Risk Management Program in a short video available on YouTube. Here is a link to it:

Cybersecurity Risk Management Principles

This timely, three-day CPE training seminar is designed for the project director, project leader and individuals who have to create effective set of cybersecurity program tools and the related documents.

 

Seminar Highlights

We created this comprehensive seminar to help you become more proactive in the maturity of your cybersecurity program.

The class is based on our experience implementing best practices from security experts in industry and agencies.

We translate the technical security and networking jargon into plain English. We discuss case studies of breaches and remediation activities.

Learning Objectives

- Attendees will understand the standard definitions and concepts associated with cybersecurity

- Attendees will identify sources of security information

- Attendees will know the major laws and regulations governing data security and privacy

- Attendees will identify popular frameworks for security risk, control and assessment

- Attendees will recognize how breaches occur and attackers gain access to our systems

- Attendees will understand the best practice tools and countermeasures for minimizing the impact of a breach

Key Issues on the Agenda

Introduction and Learning Objectives

Overview, Definitions and Concepts

Security Organizations and Material

Security Certifications

Security and Privacy Laws and Regulations

Internal Control and Security Frameworks

Implementing a Cybersecurity Initiative

Security Risk Assessment

Strengthening the Control Environment

Security Policy Administration

Computer Communications, Networks and Firewalls

Controls and Countermeasures

The Insider Threat

The Outsider Threat

DevOps Security

Asset Security

Testing the Internal Controls

NIST Security Framework

Anatomy of an Attack

AICPA Cybersecurity Risk Assessment

Securing the Physical Environment

Vendor Management and SSAE 18 SOC Audits

Configuration Management

Personal Cyber Safety Measures

Discussion, Documentation and Summary

 

Corporate Compliance Seminars has been created by experts who enjoy providing CPE classroom training, workshops and consulting on internal controls, internal auditing, information technology and accounting related subjects. We have focused on SOX, COSO, PCAOB, COBIT, GRC, IFRS, AICPA, GAO and IIA Standards.

Our programs are CPE for professionals with CPA, CGA, CIA, CFE, CISA, CMA, PMP and CA designations.

Corporate Compliance Seminars presents CPE to auditors, compliance staff, engineers, and IT professionals, Boards of Directors and Audit Committees. We examine the details of risk management, Sarbanes-Oxley Act compliance, Model Audit Rule compliance, auditing, internal controls, IT security and compliance, project management, and fraud prevention and detection.

Corporate Compliance Seminars allows the attendee to earn Official NASBA CPE credit.

Our seminars focus on the details of the Institute of Internal Auditor's IPPF, Committee of Sponsoring Organizations of the Treadway Commission (COSO) Internal Control Frameworks, ISACA's Control Objectives over Information Technology (COBIT), Information Technology Infrastructure Library (ITIL), Open Compliance & Ethics Group's (OCEG) Governance, Risk & Compliance (GRC) methodology, PCAOB's Auditing Standard 5 (AS5), AICPA auditing standards, Sarbanes-Oxley Act of 2002 (SOX), NAIC Model Acts, and the future conversion from GAAP to the International Financial Reporting Standards (IFRS).

Our seminars provide CPE for the CPA, CFE, CIA, CISA, auditors and others with effective and engaging training.

 

 

"Please contact the event manager Marilyn (marilyn.b.turner(at)nyeventslist.com ) below for:

- Multiple participant discounts

- Price quotations or visa invitation letters

- Payment by alternate channels (PayPal, check, Western Union, wire transfers etc)

- Event sponsorships

NO REFUNDS/TRANSFERS ALLOWED ON REGISTRATIONS

Prices may go up any time. Service fees included in pricing.

-----------------------------------------------------------------

This event is brought to you by:

Corporate Compliance Seminars - NewYorkEventsList

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ELA191112CEV

Reference:
https://www.eventbrite.dk/e/cybersecurity-technical-excellence-risk-mgmt-fulton-columbiamdccs-tickets-81490479217

Internal Auditor Basic Training Workshop - Fulton - Columbia, MD - (CCS)


Internal Auditor Basic Training Workshop

About this Event

Join us for a unique, interactive course that "walks you through" the Internal Audit process. The instructors focus on bring out the "tradecraft" needed to be an effective and efficient internal auditor.

This comprehensive internal audit training course is for anyone who wants to have a strong base of knowledge and understanding of the essential audit and the personal skills to become a successful internal auditor.

We present the "Audit Life Cycle": Discover how audits are planned (based on an assessment of risk); how audits are conducted (fieldwork including interviewing, identifying internal controls, methods of testing, audit sampling, workpaper documentation); how audits are reported (identifying, prioritizing and communicating internal control deficiencies); and how to follow up on audit findings.

Relax and learn through expert instructor presentations, group discussions, role-playing, audit exercises, white-board diagramming and simulations.

We present this event in over 40 locations each year to an average of four attendees per event. We have this delivery approach to allow for a focus on individual development and learning from our very experienced auditor educators.

This timely, three-day CPE training seminar is designed for the new internal auditor and individuals who have to create effective audit workpapers in performing internal audits and then communicate the results to management.

 

Seminar Highlights

. What are Auditing Standards?

. Understanding Risk Assessment.

. Understanding the elements of an effective organizational culture.

. Best Practices in creating an internal audit function.

. Best Practices in conducting audit fieldwork.

. Best Practices for testing internal controls and business processes.

. Audit verbal and written communications defined.

. Best Practices for testing internal controls.

. Best Practices in creating internal audit reporting tools.

. What to include and not include in each audit report.

. Essential sections of each type of audit report.

. How to properly document credibility determinations.

. Principles of clear and concise reporting.

Event Learning Objectives

. Understand why the internal audit function exists as a major entity level control.

. Review the different standards that can be applied to the audit function: IIA, PCAOB, Yellow Book, Green Book, COSO, ISACA, ISO, NIST, etc.

. How to identify risks at all levels in the Enterprise Risk Model.

. How to categorize risk and construct an effective internal audit plan that has both strategic and tactical goals.

. Understand how auditors are not the managers of an organization.

. Learn the Dr. Kotter's Eight Stage Process to guide the internal audit functions role in creating positive changes in an organization.

. Understand how an audit is conducted.

. Understand how to use the S.P.I.N (Situation - Problem - Implication - Need) in interviewing and documenting audit findings.

. Understand how to create mature business and administrative processes using the elements of a maturity model.

. How to evaluate and document internal controls.

. Knowledge of the best techniques for gathering audit evidence.

. See the importance of preparing quality workpapers.

. Discuss interpersonal and team-building skills.

. Understand how to motivate management to create effective "Management Action Plans" concerning audit findings.

. Review how to create an effective executive summary that calls for executive action concerning audit findings.

. Understand how to create effective communication elements.

Key Issues on the Agenda

 

Introduction

. About Us and About Your Instructor

. Who are You? What are Your Needs?

. Three Lines of Defense

. The Individual Audit Life Cycle

. Tradecraft for the Internal Auditor

Section 1 - Overview of Internal Audit Function

. History of Auditing

. Today's Internal Auditors

. What is "Internal Auditing"?

. The Effective Internal Audit Function

. Predictions for the Next Ten Years

. Professional Guidance Sources

. The "Thing" About Standards

. Guidance from the IIA

. IIA Code of Ethics

. Legislative Guidance: Sarbanes-Oxley Act

. What is "Internal Control"?

. COSO 2013 Guidance

. Major Internal Control Regulations

. Why Do Organizations Need Internal Controls?

. Information Technology Framework - COBIT

. What I/A Serivces Should Be Provided?

. What Types of Internal Audits Are Conducted?

. Accounting vs Auditing

. Dr. Kotter's Eight Steps to Organizational Change

Section 2 - Understanding Risk Management

. Myth's About Auditing

. What is Risk?

. Layers of Risk Management

. Dimensions of Risk at All Levels

. Business Objective - Risk - Control - Residual Risk

. What is the Maturity of the ERM Program

. Recognise the Categoies of Internal Control

. COSO Risk Assessment Principles

. COSO Control Environment Principles

. COSO Control Activities Principles

. COSO Information and Communication Principles

. COSO Monitoring Activities Principles

. "Heat Map" the Risks

. Pareto's Principle - The 80% 15% 5% Rule

. How Does the SEC Look at Deficiencies

Section 3 - Inside the Internal Audit Function

. Responsibilities - Management - External Audit - Internal Audit

. Internal Audit Department "Situation"

. What is the Hierarchy?

. Audit Committee Expectations

. What Skills Should Auditors Possess?

. Auditor Personality Profile

. Audit Software

. Flowchart the Process?

. Internal Audit vs. External Audit

. Does Your Orgnization Have a Financial Statement Audit?

. External Auditors Focus on "Materiality" and "Misstatements" in Financial Reports

. How to calculate what is "Materiality"?

. To Comply with GAAS, the External Auditor Must.

. To Comply with GAAS, the External Auditor Must.

Section 4 - Planning the Audit Function Coverage and Assessing Risk

. The Internal Audit "Life Cycle"

. Internal Audit Must Look into the Future.

. Conduct an "Internal Audit Risk Assessment"

. COSO's Focus is on Risk Management

. What are Management's Responses to Risks?

. Strategic Audit Planning

. Assess the Areas of Audit Risk

. So.How can controls fail? Why?

Section 5 - Detailed Individual Audit Planning

. Individual Internal Audit Planning Process

. Detailed Planning of Individual Audits

. Review the "Business Process Narratives"?

. Business Process Documentation

. Control Self Assessment Questionnaires

. Business Process Assertions

. Recognize the Important Internal Controls

. How Can Auditors Manage Risk?

. Where Can We Obtain Audit Procedures?

. Document Audit Procedures

. Tailor Your Audit Procedures based on the.

. Example of an Audit Procedure

. Audit Planning Memorandum

. Deliverables from the Planning Phase

Section 6 - Conducting the Internal Audit Fieldwork

. What Does "Audit" Mean"?

. Start the Audit Fieldwork

. Establish Fieldwork Guidelines

. The Auditee Needs to Present Their "Heat-Map"

. Conduct a "Walk-Through"

. Obtain Departmental Procedures

. Business Process Maturity

. How Should We Communicate with Audit Clients?

. Is the Interviewee Being Honest?

. The Deception Detection Obstacle Course

. What Deception Sounds Like

. What Deception Looks Like

. What "Fieldwork" Skills are Important?

. The Effective Audit Interviews

. "S.P.I.N." Audit Interviewing

. "S" - Situation Questions

. "P" - Open Ended Problem Questions

. "I" - Implication Questions

. "N" - What needs to be done?

. Sort Through the Interview

Section 7 - Testing the Controls in Business and Administrative Processes

. Business Processes are Grouped into "Cycles"

. Examples of Internal Controls for Business Processes

. Examples of "Entity-Level" Controls

. Fieldwork: Gather "Audit Evidence"

. Quality of "Audit Evidence"

. What are the Methods of Internal Control Testing?

. How "Effective" is the Control?

. How "Mature" is the Business Process

. What is the Sample Size for Testing Controls?

. Audit "Workpapers"

. Key Elements for Workpapers

. Essential Workpaper Characteristics

. Check Your Workpapers

. Workpaper Review - Common Issues

Section 8 - Workpapers Concerning Internal Audit Findings

. What is Professional Skepticism!

. What is the "Criteria" to Define the Finding?

. Document the Exceptions/ Findings

. Describe the Issue - The "Six Cs"

. Observations, Findings and Action Matrix

. What is the "Condition" of the Finding?

. Obtain a Confirmation of the Audit Findings

. Getting to the "Facts"

. Sample Workpaper: Summary of Findings

. What are the SEC Deficiencies?

. Examples of Risk-Ranked Findings

. What is the "Cause" of the Finding?

. Sample Workpaper: Summary of Causes

. What are the Root Cause Analysis Methods?

. The Five Whys

. What is the "Consequence" of the Finding?

. Sample Workpaper: Consequence

. Consequence - What is the Risk?

. Make the Recommendation SMART!

. Management Action Plans (MAPs)

. Findings Summary Table

. Ending the Fieldwork

. Deliverables from the "Doing" Phase

Section 9 - Individual Internal Audit Project Examples

. Operational Auditing

. How Do We Perform Operational Audits?

. Revenue Cycle

. P2P and Supply Chain Risk

. What are Compliance and Performance Audits?

. Fraud Audits..Where Do We Start?

. Categories of IT Controls

. Documentation and Testing of IT Controls

Section 10 - The Audit Communications Phase

. How to Write a BAD Audit Report

. What is a "Report"?

. How Effective are your Audit Reports?

. What is an "Status Report"?

. Auditor Guidance for Report Writing

. IIA Guidance on Internal Audit Reporting

. So.Why Do We Write Audit Reports?

. Change the Organization!

Section 11 - Making Audit Communications Effective

. Feelings

. How Can We Improve Our Audit Communication Skills?

. Say It Better!

. Who are the Recipients of Our Audit Reports?

. Write for Your Audience

. Organize the Content for Your Audience

. Is This Acceptable for Your Audience?

. Improving "Audience Adaptation"?

Section 12 - Components of the Audit Report

. The Internal Audit "Life Cycle"

. The "Audit Trail" to the Report

. Sections of the Audit Report

. Example of Dave's Cover Page

. Executive Summary

. Internal Audit Summary

. Audit Findings

. Management Action Plans

. Appendices

Section 13 - The High Level Focus: Executive Summary - Audit Summary

. Summary Sections

. Value Creator Executive Summaries

. Executive Summary - Section One - Focus the message on Risk, Governance and Strategy

. Executive Summary - Section Two - Focus the message on strengths, compliance and challenges

. Executive Summary - Section Three - Focus the message on Action!

. Summary Table of the Issues

. Audit Summary

. Identify the Audit Objectives

. Audit Scope Limitations

. Opinion Statement

. How Can We Write Effective Summaries?

Section 14 - The Hard Facts: Audit Findings

. What is an "Audit Finding"?

. Is the Finding Feasible?

. How "Effective" is the Control?

. What are the Deficiencies?

. Examples of Risk-Ranked Findings

. "We Have a Finding!"

. How Can We Write More Effective Audit Findings?

. "Condition" Statements

. What is the "Condition" of the Finding?

. Detailed Description of "Condition"

. How Can We Write STRONGER "Condition" Statements?

. What is the "Criteria" of the Finding?

. What is the "Cause" of the Finding?

. Proximate - Intermediate - Root Cause

. What is the "Consequence" of the Finding?

. Consequence - What is the Risk?

. "Consequence"; "Effect"

. The Root Cause Groupings Lead to Corporate Cultural Issues

Section 15 - Audit Opinion and Ratings

. What is an Audit Opinion?

. Audit Rating, Score or Grade

. Should Each Finding Be Risk-Rated?

. "CMMI" Levels of Maturity

. We Can Measure "Control Maturity"?

. "CMMI" Levels of Maturity

. Internal Control Reliability Model

. Rating with the "Internal Control Maturity Model"

Section 16 - Audit Report Formatting

. Do We Have Audit Report Format Standards?

. Font Type and Size

. Text Justification

. Format for the "Findings and Recommendations" Section

. "Paragraph" Formal

. "Mapped" Format?

. "Matrix" Format

. "Bullet" Format

. Format According to the Audit Type

. Special Reports

Section 19 - Optimizing the Audit Report

. Optimizing the Report

. Apply the IPPF Guidance

. Optimize the Visual Presentation

. Optimize the Cover Page

. Optimize the Report Structure

. Optimize the Readability

. Optimize the "Sequencing"

. Optimize the Flow

. Optimize the Wording

. Optimize the Paragraphs

. Optimize the Sentences

. Optimize the Content

. Clarity

. Clarity and Conciseness

. Coherence

. Conciseness and Word Economy

. Report Optimization - Verb Tense

. Optimize the Tone

. Proof Read Carefully!

. Peer-Review the Report

. Optimize Format to the Visual Person

. Finalize the Report

. Do We Formally Follow Up?

. 10 Things Internal Auditors Should Not Say.

Section 18 - Summary and Wrap-Up

. The "Audit Life Cycle"

. Dave's Keys to Being a Successful Auditor

. 10 Keys to successful internal auditing

. The Audit Report.

. 10 Keys to Successful Audit Reporting

. Stay "On Top of Your Game"

. The Auditing Profession

. Do We Maintain Ongoing Relationships?

Corporate Compliance Seminars has been created by experts who enjoy providing CPE classroom training, workshops and consulting on internal controls, internal auditing and accounting related subjects. We have focused on SOX, COSO, PCAOB, COBIT, GRC, IFRS, AICPA, GAO and IIA Standards.

Our programs are CPE for professionals with CPA, CGA, CIA, CFE, CISA, CMA and CA designations.

Corporate Compliance Seminars presents CPE to auditors, compliance and IT professionals, Boards of Directors and Audit Committees. We examine the details of risk management, Sarbanes-Oxley Act compliance, Model Audit Rule compliance, auditing, internal controls, IT security and compliance, and fraud prevention and detection.

Corporate Compliance Seminars allows the attendee to earn Official NASBA CPE credit.

Our seminars focus on the details of the Sarbanes-Oxley Act of 2002 (SOX), Internal Controls over Financial Reporting (ICFR), Committee of Sponsoring Organizations of the Treadway Commission (COSO) Internal Control Frameworks, ISACA's Control Objectives over Information Technology (COBIT), Information Technology Infrastructure Library (ITIL), Open Compliance & Ethics Group's (OCEG) Governance, Risk & Compliance (GRC) methodology, PCAOB's Auditing Standard 5 (AS5), AICPA auditing standards and the future conversion from GAAP to the International Financial Reporting Standards (IFRS).

Our seminars provide CPE for the CPA, CFE, CIA, CISA, auditors and others with effective and engaging training.

 

 

 

"Please contact the event manager Marilyn (marilyn.b.turner(at)nyeventslist.com ) below for:

- Multiple participant discounts

- Price quotations or visa invitation letters

- Payment by alternate channels (PayPal, check, Western Union, wire transfers etc)

- Event sponsorships

NO REFUNDS/TRANSFERS ALLOWED ON REGISTRATIONS

Prices may go up any time. Service fees included in pricing.

-----------------------------------------------------------------

This event is brought to you by:

Corporate Compliance Seminars - NewYorkEventsList

http://www.nyeventslist.com

http://www.bostoneventslist.com

http://www.sfbayeventslist.com

-----------------------------------------------------------------"

 

ELA191209CEV

Reference:
https://www.eventbrite.dk/e/internal-auditor-basic-training-workshop-fulton-columbia-md-ccs-tickets-85490264683

Baltimore, MD Regional Training (csf)

Welcome to the Baltimore, MD Regional Training

About this Event

Wednesday, June 10, 2020-Sunday, June 14, 2020

 

Join ICISF in their home state! Linthicum Heights, Maryland!

Training provided for those beginning their exploration of the field of crisis intervention as well those already serving on CISM teams.

Plan your schedule using the links on the left, then click on Register Now! to begin!

 

Certificates of Attendance

All ICISF training participants will be awarded general Continuing Education Units (CEUs) from UMBC on their Certificate of Attendance. At the end of the Regional Training you will receive a course evaluation via email. After completing the course evaluation you will be emailed a link to print your certificate. All participants are required to check in at the ICISF Registration Desk before the start of your course each day in order to verify attendance.

UMBC CEUs are awarded at a ratio of one Continuing Education Unit for every 10 Contact Hours (refer to course descriptions for Contact Hours & UMBC CEUs). ICISF Certificates of Attendance are not proof of profession specific CE/Contact Hours. Many national, state and local licensing boards and professional organizations will grant Continuing Education credit for attendance at our courses (save this information and your Certificate of Attendance). It is the responsibility of the participant to determine if his or her licensing board will accept these CEUs. Scroll down for additional profession specific CE information

 

Discounts & Scholarships Available

ICISF offers discounts on registration fees to Active Military, Veterans, Students (must be an ICISF member) and Groups of five or more. For additional information, please contact Beth Kohr, Regional Training Coordinator.

The Academy of Crisis Intervention Program awards partial/full scholarships to assist individuals who are unable to attend ICISF training due to financial constraints. This scholarship program was designed for people who have never had any ICISF training or are trying to take the core courses, but have financial constraints. For details and FAQs, click here.

 

Official Transportation

Enterprise Rent-A-Car: Special rental rates for all ICISF participants who use ICISF’s assigned Corporate Number 18B2341 and initials ICI while making reservations. Reservations may be made by calling (800) 261-7331 and mention above corporate number and initials or on-line at www.enterprise.com. This code may be utilized anytime for business or personal use.

 

Official Language

All presentations are in English.

 

Continuing Education and Certifications

Continuing Education (CEUs):

 

In cooperation with University of Maryland Baltimore County (UMBC) Training Centers, all ICISF Regional Training participants will be awarded general Continuing Education Units (CEUs) from UMBC Training Centers on their attendance certificate following verification of attendance.

Get more details about Continuing Education (CEUs)

Certification in Critical Incident Stress Management (CCISM)

The CCISM Certification, offered by UMBC's Department of Emergency Health Services through its Professional and Continuing Education (PACE) program, is the world's first university-based certification in the field of Critical Incident Stress Management (CISM) and psychological crisis intervention.

 

Agenda

Please see picture below!

 

Speaker

Coming Soon!

 

 

"Please contact the community manager Marilyn ([email protected] ) below for:

- Multiple participant discounts

- Price quotations or visa invitation letters

- Payment by alternate channels (PayPal, check, Western Union, wire transfers etc)

- Event sponsorships

 

NO REFUNDS ALLOWED ON REGISTRATIONS

Service fees included in this listing.

-----------------------------------------------------------------

International Critical Incident Stress Foundation, Inc.- New York Events List

http://www.NyEventsList.com

http://www.BostonEventsList.com

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-----------------------------------------------------------------

 

MYL191217CEV"

Reference:
https://www.eventbrite.com/e/baltimore-md-regional-training-csf-s-tickets-86608934655

Leadership in Higher Education Conference (mpi)


Leadership in Higher Education Conference

About this Event

Bringing Innovative Strategies and Best Practices to Light

“When you work in academia, many times you feel certain events only happen to you. After this conference, I left feeling supported, not isolated, and the other attendees confirmed they also experience the same occurrences I do. The conference content was outstanding, and the opportunity to network with others in academia was amazing!”

—Margaret Vivoda, PhD, MBA, Dean of Academic Affairs, Keiser University, Daytona Beach Campus, 2018 Conference Attendee

 

“The experienced and articulate plenary sessions presenters shared valuable, deeper, and most current insights into the state of affairs in higher education that helped formulate key take-away and implementation ideas.”

 

—Mamta Saxena, Director, Assessment, Northeastern University, 2018 Conference Attendee

 

Working in higher education begs the need for innovation and inspiration. Are you interested in strategies to motivate your staff and foster student success? Are you seeking out a more senior position? With a wide range of programming and networking opportunities, the 2020 Leadership in Higher Education Conference will help you learn how to take the next steps to expand and improve your career or department’s efficiency.

 

Whether you are a new leader or a seasoned administrator in higher education, this conference offers you the opportunity to learn innovative strategies, trends, and best practices for effectively managing staff and resources.

 

The Leadership in Higher Education Conference was created in 2015 to foster learning and collaboration among aspiring and long-term leaders. The 2020 conference includes an impressive lineup of nationally recognized experts, programming for both mid-career and new leaders, as well as a new Next Steps Action Center to mentor you through the strategies you plan to implement.

 

With programming designed to support your leadership development, this gathering of higher education professionals is essential for professional development and includes preconference workshops, concurrent sessions, poster sessions, and vendor exhibits.

 

 

Diverse Programming to Meet Leadership Needs

Join us in Baltimore for the 2020 Leadership in Higher Education Conference to collaborate with like-minded peers from across the country. This year’s conference focuses on both academic and administrative leadership with seven unique conference tracks:

  • Academic Leadership and Professional Development
  • Administrative Leadership and Professional Development
  • Diversity and Inclusion
  • Program and Department Evaluation and Assessment
  • Faculty Hiring, Development, and Assessment
  • Institutional Culture and Climate
  • Special Topics in Academic Leadership

 

NEW in 2020

We are pleased to offer the following new initiatives for the 2020 conference:

  • Specially priced registration packages designed to support your requirements and budget
  • Programming specific for new leaders and mid-career leaders
  • Programming focused on application of leadership principles
  • Next Steps Action Center

 

Expand Your Leadership Network

The key to leadership success is the willingness to learn from others and collaborate. The 2020 Leadership in Higher Education Conference gives you the opportunity to do both. You’ll be surrounded by like-minded leaders who are passionate about their institutions and higher education as a whole. Connect with higher education leadership experts and expose yourself to new perspectives and strategies. We limit registration to approximately 325 to ensure a manageable size conducive to one-on-one networking, coaching, and instruction.

 

An Affordable Learning Experience

Juggling budgets and facing constraints seems to be the new normal for academic leaders, which is why the 2020 Leadership in Higher Education Conference is an affordable option. While average conference registration fees climb upward, you can participate in interdisciplinary programming, leadership workshops and networking events without putting a major dent in your college or departmental budget. With team pricing available, this conference is the most cost-effective way to train new and seasoned leaders, deans, department chairs and administrators.

 

Why Should You Attend?

Do you need inspiration and motivation to excel in a new or existing leadership position? Are you seeking out new strategies to implement at your institution? Do you feel overwhelmed by your leadership role? Find inspiration, best practices, innovative strategies, and more at the 2020 Leadership in Higher Education Conference.

 

Sessions are especially geared toward:

 

Department chairs

Division heads

Deans

Academic or Administrative leaders

Program or project directors

Provosts

Aspiring faculty

 

Conference Schedule

Schedule is subject to change.

 

Thursday, October 1, 2020

Noon–5:00 pm

 

Registration open

 

1:00–4:30 pm

 

Preconference Workshop:

 

1:00–4:30 pm

 

Preconference Workshop:

 

1:00–4:30 pm

 

Preconference Workshop:

 

1:00–4:30 pm

 

Preconference Workshop:

 

5:00–5:15 pm

 

Conference welcome

 

5:15–6:15 pm

 

Opening plenary:

 

6:30–8:00 pm

 

Reception: meet & greet colleagues, presenters, and exhibitors

 

8:00 pm

 

Dinner and evening on your own

 

 

Friday, October 2, 2020

6:00 –7:00 am

 

YOGA for Wellbeing

 

7:30 am–4:00 pm

 

Registration open

 

7:30–8:30 am

 

Continental breakfast

 

8:45–9:45 am

 

Concurrent sessions

 

10:00–11:00 am

 

Concurrent sessions

 

11:15 am–

12:30 pm

 

Lunch

 

1:00–2:00 pm

 

Concurrent sessions

 

2:15–3:15 pm

 

Concurrent sessions

 

3:30–4:30 pm

 

Concurrent sessions

 

5:00–7:00 pm

 

Dinner and Plenary

 

 

Saturday, October 3, 2020

7:30–9:30 am

 

Registration open

 

7:30–8:30 am

 

Continental breakfast

 

8:45–9:45 am

 

Concurrent sessions

 

10:00–11:00 am

 

Concurrent sessions

 

11:15 am–

1:15 pm

 

Lunch and Panel Discussion

 

1:30–2:30 pm

 

Concurrent sessions

 

2:45–3:45 pm

 

Concurrent sessions

 

3:45 pm

 

Conference adjourns

 

The 2020 Advisory Board

Edna B. Chun, DM

Edna B. Chun, DM is chief learning officer with HigherEd Talent. She has more than two decades of strategic human resource and diversity leadership experience in public higher education. Her work and publications focus on academic and administrative talent practices that build organizational capacity. A sought-after keynote speaker and facilitator, Chun is an award-winning author and thought leader with a major body of published work on diversity and human resource practices in higher education. As a nationally recognized expert in leadership development, she frequently advises universities and colleges on diversity strategic planning, total rewards strategy, talent acquisition and retention, change management and organizational effectiveness, cultural competence, and the integration of HR and diversity practices. Her particular expertise is in the development of concrete, research-based strategies that strengthen organizational synergy and build more inclusive cultures in support of institutional goals.

 

Stephanie Delaney, PhD

Stephanie Delaney, PhD is the vice president of instruction at Renton Technical College. Delaney has a strong background in Guided Pathways and eLearning and she has spoken nationally on issues related to leadership, technology, and effective online teaching and learning. Delaney earned her PhD in educational leadership in higher education/distance education at the University of Nebraska at Lincoln. She also holds a law degree from the University of San Diego School of Law and a master’s degree in Environmental Law from Vermont Law School. She earned her BS at Georgetown University.

 

Oliver Dreon, PhD

Oliver Dreon, PhD, is an associate professor and director of the Center for Academic Excellence at Millersville University of Pennsylvania. He teaches a wide variety of education and instructional technology courses both in face-to-face and online formats. He is the co-author of the book Authentic Instruction with Technology: A Student-Centered Approach, the co-editor of the book, Teacher Education for Ethical Professional Practices in the 21st Century, and co-author of Best Practices for Blended Science Instruction. Dreon has spent more than 25 years teaching in various educational environments and provides regular professional development and consultation on online and blended learning. His work examines how technology can be used to support student development through physical, online, and hybrid learning spaces.

 

Alvin Evans

Alvin Evans serves as higher ed practice leader with HigherEd Talent. With more than twenty years of executive-level experience in complex local education agencies and doctoral extensive institutions of higher education, he works with organizations interested in developing strategic and cutting-edge organizational capabilities. His expertise lies in core human resources administrative functions (talent management, total rewards programs, professional development, information systems, labor and employee relations, contract negotiation and administration, EEO, and Affirmative Action), policy development, organizational design and development, program evaluation, change management, organizational diversity, coaching and mentoring programs and leveraging qualitative and quantitative data to enhance organizational efficiency and effectiveness. Evans is recognized by his peers as a thought leader and award-winning author. In addition, he is a frequent contributor to major national educational and diversity publications.

 

Jennifer Lorenzetti

Jennifer Lorenzetti, MS is managing editor of Academic Leader, the newsletter for academic deans and department chairs. She is a writer, speaker, higher education consultant, and the owner of Hilltop Communications.

 

Lolita A. Paff, PhD

Lolita A. Paff, PhD, is associate professor of business and economics at Penn State Berks. Her pedagogical scholarship and faculty development work focus on classroom and online interaction, student engagement, and active learning.

 

 

"Please contact the event manager Marilyn ([email protected] ) below for:

- Multiple participant discounts

- Price quotations or visa invitation letters

- Payment by alternate channels (PayPal, check, Western Union, wire transfers etc)

- Event sponsorships

 

NO REFUNDS ALLOWED ON REGISTRATIONS

Service fees included in this listing.

-----------------------------------------------------------------

MAGNA PUBLICATIONS, lhlC - New York Events List

http://www.NyEventsList.com

http://www.BostonEventsList.com

http://www.SFBayEventsList.com

-----------------------------------------------------------------

 

MYL191017CEV"

Reference:

https://www.eventbrite.com/e/leadership-in-higher-education-conference-mpi-tickets-77267913409

Internal Auditor Basic Training Workshop - Baltimore, MD- (CCS)

Internal Auditor Basic Training Workshop

About this Event

Join us for a unique, interactive course that "walks you through" the Internal Audit process. The instructors focus on bring out the "tradecraft" needed to be an effective and efficient internal auditor.

This comprehensive internal audit training course is for anyone who wants to have a strong base of knowledge and understanding of the essential audit and the personal skills to become a successful internal auditor.

We present the "Audit Life Cycle": Discover how audits are planned (based on an assessment of risk); how audits are conducted (fieldwork including interviewing, identifying internal controls, methods of testing, audit sampling, workpaper documentation); how audits are reported (identifying, prioritizing and communicating internal control deficiencies); and how to follow up on audit findings.

Relax and learn through expert instructor presentations, group discussions, role-playing, audit exercises, white-board diagramming and simulations.

We present this event in over 40 locations each year to an average of four attendees per event. We have this delivery approach to allow for a focus on individual development and learning from our very experienced auditor educators.

This timely, three-day CPE training seminar is designed for the new internal auditor and individuals who have to create effective audit workpapers in performing internal audits and then communicate the results to management.

 

Seminar Highlights

. What are Auditing Standards?

. Understanding Risk Assessment.

. Understanding the elements of an effective organizational culture.

. Best Practices in creating an internal audit function.

. Best Practices in conducting audit fieldwork.

. Best Practices for testing internal controls and business processes.

. Audit verbal and written communications defined.

. Best Practices for testing internal controls.

. Best Practices in creating internal audit reporting tools.

. What to include and not include in each audit report.

. Essential sections of each type of audit report.

. How to properly document credibility determinations.

. Principles of clear and concise reporting.

Event Learning Objectives

. Understand why the internal audit function exists as a major entity level control.

. Review the different standards that can be applied to the audit function: IIA, PCAOB, Yellow Book, Green Book, COSO, ISACA, ISO, NIST, etc.

. How to identify risks at all levels in the Enterprise Risk Model.

. How to categorize risk and construct an effective internal audit plan that has both strategic and tactical goals.

. Understand how auditors are not the managers of an organization.

. Learn the Dr. Kotter's Eight Stage Process to guide the internal audit functions role in creating positive changes in an organization.

. Understand how an audit is conducted.

. Understand how to use the S.P.I.N (Situation - Problem - Implication - Need) in interviewing and documenting audit findings.

. Understand how to create mature business and administrative processes using the elements of a maturity model.

. How to evaluate and document internal controls.

. Knowledge of the best techniques for gathering audit evidence.

. See the importance of preparing quality workpapers.

. Discuss interpersonal and team-building skills.

. Understand how to motivate management to create effective "Management Action Plans" concerning audit findings.

. Review how to create an effective executive summary that calls for executive action concerning audit findings.

. Understand how to create effective communication elements.

Key Issues on the Agenda

 

Introduction

. About Us and About Your Instructor

. Who are You? What are Your Needs?

. Three Lines of Defense

. The Individual Audit Life Cycle

. Tradecraft for the Internal Auditor

Section 1 - Overview of Internal Audit Function

. History of Auditing

. Today's Internal Auditors

. What is "Internal Auditing"?

. The Effective Internal Audit Function

. Predictions for the Next Ten Years

. Professional Guidance Sources

. The "Thing" About Standards

. Guidance from the IIA

. IIA Code of Ethics

. Legislative Guidance: Sarbanes-Oxley Act

. What is "Internal Control"?

. COSO 2013 Guidance

. Major Internal Control Regulations

. Why Do Organizations Need Internal Controls?

. Information Technology Framework - COBIT

. What I/A Serivces Should Be Provided?

. What Types of Internal Audits Are Conducted?

. Accounting vs Auditing

. Dr. Kotter's Eight Steps to Organizational Change

Section 2 - Understanding Risk Management

. Myth's About Auditing

. What is Risk?

. Layers of Risk Management

. Dimensions of Risk at All Levels

. Business Objective - Risk - Control - Residual Risk

. What is the Maturity of the ERM Program

. Recognise the Categoies of Internal Control

. COSO Risk Assessment Principles

. COSO Control Environment Principles

. COSO Control Activities Principles

. COSO Information and Communication Principles

. COSO Monitoring Activities Principles

. "Heat Map" the Risks

. Pareto's Principle - The 80% 15% 5% Rule

. How Does the SEC Look at Deficiencies

Section 3 - Inside the Internal Audit Function

. Responsibilities - Management - External Audit - Internal Audit

. Internal Audit Department "Situation"

. What is the Hierarchy?

. Audit Committee Expectations

. What Skills Should Auditors Possess?

. Auditor Personality Profile

. Audit Software

. Flowchart the Process?

. Internal Audit vs. External Audit

. Does Your Orgnization Have a Financial Statement Audit?

. External Auditors Focus on "Materiality" and "Misstatements" in Financial Reports

. How to calculate what is "Materiality"?

. To Comply with GAAS, the External Auditor Must.

. To Comply with GAAS, the External Auditor Must.

Section 4 - Planning the Audit Function Coverage and Assessing Risk

. The Internal Audit "Life Cycle"

. Internal Audit Must Look into the Future.

. Conduct an "Internal Audit Risk Assessment"

. COSO's Focus is on Risk Management

. What are Management's Responses to Risks?

. Strategic Audit Planning

. Assess the Areas of Audit Risk

. So.How can controls fail? Why?

Section 5 - Detailed Individual Audit Planning

. Individual Internal Audit Planning Process

. Detailed Planning of Individual Audits

. Review the "Business Process Narratives"?

. Business Process Documentation

. Control Self Assessment Questionnaires

. Business Process Assertions

. Recognize the Important Internal Controls

. How Can Auditors Manage Risk?

. Where Can We Obtain Audit Procedures?

. Document Audit Procedures

. Tailor Your Audit Procedures based on the.

. Example of an Audit Procedure

. Audit Planning Memorandum

. Deliverables from the Planning Phase

Section 6 - Conducting the Internal Audit Fieldwork

. What Does "Audit" Mean"?

. Start the Audit Fieldwork

. Establish Fieldwork Guidelines

. The Auditee Needs to Present Their "Heat-Map"

. Conduct a "Walk-Through"

. Obtain Departmental Procedures

. Business Process Maturity

. How Should We Communicate with Audit Clients?

. Is the Interviewee Being Honest?

. The Deception Detection Obstacle Course

. What Deception Sounds Like

. What Deception Looks Like

. What "Fieldwork" Skills are Important?

. The Effective Audit Interviews

. "S.P.I.N." Audit Interviewing

. "S" - Situation Questions

. "P" - Open Ended Problem Questions

. "I" - Implication Questions

. "N" - What needs to be done?

. Sort Through the Interview

Section 7 - Testing the Controls in Business and Administrative Processes

. Business Processes are Grouped into "Cycles"

. Examples of Internal Controls for Business Processes

. Examples of "Entity-Level" Controls

. Fieldwork: Gather "Audit Evidence"

. Quality of "Audit Evidence"

. What are the Methods of Internal Control Testing?

. How "Effective" is the Control?

. How "Mature" is the Business Process

. What is the Sample Size for Testing Controls?

. Audit "Workpapers"

. Key Elements for Workpapers

. Essential Workpaper Characteristics

. Check Your Workpapers

. Workpaper Review - Common Issues

Section 8 - Workpapers Concerning Internal Audit Findings

. What is Professional Skepticism!

. What is the "Criteria" to Define the Finding?

. Document the Exceptions/ Findings

. Describe the Issue - The "Six Cs"

. Observations, Findings and Action Matrix

. What is the "Condition" of the Finding?

. Obtain a Confirmation of the Audit Findings

. Getting to the "Facts"

. Sample Workpaper: Summary of Findings

. What are the SEC Deficiencies?

. Examples of Risk-Ranked Findings

. What is the "Cause" of the Finding?

. Sample Workpaper: Summary of Causes

. What are the Root Cause Analysis Methods?

. The Five Whys

. What is the "Consequence" of the Finding?

. Sample Workpaper: Consequence

. Consequence - What is the Risk?

. Make the Recommendation SMART!

. Management Action Plans (MAPs)

. Findings Summary Table

. Ending the Fieldwork

. Deliverables from the "Doing" Phase

Section 9 - Individual Internal Audit Project Examples

. Operational Auditing

. How Do We Perform Operational Audits?

. Revenue Cycle

. P2P and Supply Chain Risk

. What are Compliance and Performance Audits?

. Fraud Audits..Where Do We Start?

. Categories of IT Controls

. Documentation and Testing of IT Controls

Section 10 - The Audit Communications Phase

. How to Write a BAD Audit Report

. What is a "Report"?

. How Effective are your Audit Reports?

. What is an "Status Report"?

. Auditor Guidance for Report Writing

. IIA Guidance on Internal Audit Reporting

. So.Why Do We Write Audit Reports?

. Change the Organization!

Section 11 - Making Audit Communications Effective

. Feelings

. How Can We Improve Our Audit Communication Skills?

. Say It Better!

. Who are the Recipients of Our Audit Reports?

. Write for Your Audience

. Organize the Content for Your Audience

. Is This Acceptable for Your Audience?

. Improving "Audience Adaptation"?

Section 12 - Components of the Audit Report

. The Internal Audit "Life Cycle"

. The "Audit Trail" to the Report

. Sections of the Audit Report

. Example of Dave's Cover Page

. Executive Summary

. Internal Audit Summary

. Audit Findings

. Management Action Plans

. Appendices

Section 13 - The High Level Focus: Executive Summary - Audit Summary

. Summary Sections

. Value Creator Executive Summaries

. Executive Summary - Section One - Focus the message on Risk, Governance and Strategy

. Executive Summary - Section Two - Focus the message on strengths, compliance and challenges

. Executive Summary - Section Three - Focus the message on Action!

. Summary Table of the Issues

. Audit Summary

. Identify the Audit Objectives

. Audit Scope Limitations

. Opinion Statement

. How Can We Write Effective Summaries?

Section 14 - The Hard Facts: Audit Findings

. What is an "Audit Finding"?

. Is the Finding Feasible?

. How "Effective" is the Control?

. What are the Deficiencies?

. Examples of Risk-Ranked Findings

. "We Have a Finding!"

. How Can We Write More Effective Audit Findings?

. "Condition" Statements

. What is the "Condition" of the Finding?

. Detailed Description of "Condition"

. How Can We Write STRONGER "Condition" Statements?

. What is the "Criteria" of the Finding?

. What is the "Cause" of the Finding?

. Proximate - Intermediate - Root Cause

. What is the "Consequence" of the Finding?

. Consequence - What is the Risk?

. "Consequence"; "Effect"

. The Root Cause Groupings Lead to Corporate Cultural Issues

Section 15 - Audit Opinion and Ratings

. What is an Audit Opinion?

. Audit Rating, Score or Grade

. Should Each Finding Be Risk-Rated?

. "CMMI" Levels of Maturity

. We Can Measure "Control Maturity"?

. "CMMI" Levels of Maturity

. Internal Control Reliability Model

. Rating with the "Internal Control Maturity Model"

Section 16 - Audit Report Formatting

. Do We Have Audit Report Format Standards?

. Font Type and Size

. Text Justification

. Format for the "Findings and Recommendations" Section

. "Paragraph" Formal

. "Mapped" Format?

. "Matrix" Format

. "Bullet" Format

. Format According to the Audit Type

. Special Reports

Section 19 - Optimizing the Audit Report

. Optimizing the Report

. Apply the IPPF Guidance

. Optimize the Visual Presentation

. Optimize the Cover Page

. Optimize the Report Structure

. Optimize the Readability

. Optimize the "Sequencing"

. Optimize the Flow

. Optimize the Wording

. Optimize the Paragraphs

. Optimize the Sentences

. Optimize the Content

. Clarity

. Clarity and Conciseness

. Coherence

. Conciseness and Word Economy

. Report Optimization - Verb Tense

. Optimize the Tone

. Proof Read Carefully!

. Peer-Review the Report

. Optimize Format to the Visual Person

. Finalize the Report

. Do We Formally Follow Up?

. 10 Things Internal Auditors Should Not Say.

Section 18 - Summary and Wrap-Up

. The "Audit Life Cycle"

. Dave's Keys to Being a Successful Auditor

. 10 Keys to successful internal auditing

. The Audit Report.

. 10 Keys to Successful Audit Reporting

. Stay "On Top of Your Game"

. The Auditing Profession

. Do We Maintain Ongoing Relationships?

Corporate Compliance Seminars has been created by experts who enjoy providing CPE classroom training, workshops and consulting on internal controls, internal auditing and accounting related subjects. We have focused on SOX, COSO, PCAOB, COBIT, GRC, IFRS, AICPA, GAO and IIA Standards.

Our programs are CPE for professionals with CPA, CGA, CIA, CFE, CISA, CMA and CA designations.

Corporate Compliance Seminars presents CPE to auditors, compliance and IT professionals, Boards of Directors and Audit Committees. We examine the details of risk management, Sarbanes-Oxley Act compliance, Model Audit Rule compliance, auditing, internal controls, IT security and compliance, and fraud prevention and detection.

Corporate Compliance Seminars allows the attendee to earn Official NASBA CPE credit.

Our seminars focus on the details of the Sarbanes-Oxley Act of 2002 (SOX), Internal Controls over Financial Reporting (ICFR), Committee of Sponsoring Organizations of the Treadway Commission (COSO) Internal Control Frameworks, ISACA's Control Objectives over Information Technology (COBIT), Information Technology Infrastructure Library (ITIL), Open Compliance & Ethics Group's (OCEG) Governance, Risk & Compliance (GRC) methodology, PCAOB's Auditing Standard 5 (AS5), AICPA auditing standards and the future conversion from GAAP to the International Financial Reporting Standards (IFRS).

Our seminars provide CPE for the CPA, CFE, CIA, CISA, auditors and others with effective and engaging training.

 

 

 

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