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Fundamentals Of Internal Auditing

Seminar: ID# 1003292
Fundamentals Of Internal Auditing

Agenda

1. Internal Auditing
  • IA Department Sample Charter
  • The Role Of The Internal Audit Department
  • The Standards
  • Leading-Edge Trends In IA
  • What Makes An Effective Internal Audit Department
  • Differences Between An Internal Auditor/External Auditor
  • Events That Have Helped Create Growth In IA
  • The Foreign Corrupt Practices Act (FCPA)
  • COSO IC-IF
  • Federal Sentencing Guidelines
  • Sarbanes-Oxley
  • Fraudulent Financial Reporting
  • Internal Audit Department Sample Statement Of Purpose
2. Contemporary Internal Auditing
  • Types Of Internal Audits
  • Economy, Efficiency And Effectiveness
  • Operational Vs. Financial Auditing
  • Overview Of IT General Computer Controls (GCCS)
  • Steps In The Internal Audit Process: An Overview
3. Risk Assessment Strategies
  • Selecting The Client
  • Notifying The Client
  • Determining Risk
  • Performing Standard For Determining Risk
  • Effects Of Risk
  • Identifying Auditable Activities
  • Risk Factors
  • Trends In Risk Assessment
  • Risk Assessment Approaches
4. Planning And Preliminary Fieldwork
  • Strategies For Planning The Audit
  • Notifying The Client
  • The Planning Memo
  • Preliminary And Opening Meetings
  • The Importance Of Preliminary Work
  • Strategies For Planning Effectively
  • Planning Resources
5. Documenting Internal Controls
  • Evaluating And Documenting The System Of Internal Controls
  • Performance Standard For Controls
  • Control Points
  • Cost/Benefit Considerations
  • Types Of Controls
  • The Control Environment
  • Methods Of Documenting Internal Controls
  • Internal Control
6. Audit Programs
  • Performance Standards, Scope And Developing The Audit Program
  • The Audit Program As A Guide
  • Criteria For Audit Programs
  • Audit Objectives/Scope/Test Steps
  • Sample Audit Program
7. Fieldwork Techniques
  • Performance Standards For Fieldwork
  • Audit Evidence
  • Handling Sensitive Evidence
8. Workpapers
  • Performance Standards For Recording Information And Engagement Supervision
  • Purpose Of Audit Workpapers
  • Workpaper Techniques/Templates
  • Electronic Workpapers
  • Tick Marks
  • Quality Assurance And Improvement Program
9. Audit Findings
  • Fundamentals Of Audit Reports
  • Selling Your Report
  • Strategies For Issuing Timely Reports
  • Characteristics Of Effective Audit Reports
10. Audit Reports
  • Fundamentals Of Audit Reports
  • Selling Your Report
  • Strategies For Issuing Timely Reports
  • Characteristics Of Effective Audit Reports
11. Effective Audit Communications
  • Possible Barriers To Overcome In The Interview
  • Diffusing The Difficult Interview
  • Do’s And Don’ts Of Effective Interviewing
  • Strategies For Conducting Effective Closing Meetings
12. Sampling
  • Sampling And Its Effect On Audit Testing
  • Sampling Terminology And Methodologies
  • Sampling For SOX
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