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Corporate Compliance Seminars - Left Menu, General Pages
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Internal Audit 101: Introduction to Internal Auditing Training Seminar
Internal audits are an important requirement for effective corporate governance. The internal auditor is at the front line in evaluating management's internal control, assessing the accuracy of financial information, and ensuring compliance with laws and regulations. Learn how to perform these important duties and comply with the professional auditing standards.
"Internal Audit 101" is the perfect CPE course to provide an introduction to internal auditing to someone new to the field or to someone who has not had formal training. This course provides an overview of the "audit life cycle", including audit planning and risk assessment, conducting fieldwork, interviews, walkthroughs and tests of controls, and audit reporting and follow-up. We provide the latest guidance for a risk-based, top-down audit approach, key audit terminology, audit workpaper documentation, and "selling" the benefits of the audit.
Designed for internal auditors who are new or have limited experience in the audit profession, this seminar will walk the participants through the basics of being an internal auditor. It is ideal for auditors who want to ensure that they follow approved, prescribed audit standards and apply the appropriate audit tools and techniques.
This timely, one-day CPE training seminar is designed for the new internal auditor and others who have to create an effective audit plan, perform the audits, generate workpapers, and effectively communicate the results.
Follow the below links for further detail information:
. Seminar Highlights
. Learning Objectives
. Key Issues on the Agenda
The retail cost of this CPE seminar is $495.00 per attendee.
To reserve your space, click on the "SIGN-UP NOW!" link in the right margin, complete the registration form, and use the corresponding "Submit Registration Form and Move to Payment Options Page" button for filing the registration and moving to the payment page.
Testimonials:
Each attendee will receive 8 Auditing CPE Hours (YB). A certificate of completion will be provided.
Upcoming Internal Audit 101 Training Seminars:
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Timing |
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Columbia, SC |
Wednesday, October 31, 2018 |
8:45 to 4:45 |
Confirmed Presentation |
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Hamilton, NJ |
Monday, October 29, 2018 |
8:45 to 4:45 |
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Richmond, VA |
Monday, October 29, 2018 |
8:45 to 4:45 |
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Austin - Downtown, TX |
Monday, November 5, 2018 |
8:45 to 4:45 |
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El Paso, TX |
Monday, November 5, 2018 |
8:45 to 4:45 |
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Philadelphia, PA |
Monday, November 5, 2018 |
8:45 to 4:45 |
Confirmed Presentation |
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Salt Lake City, UT |
Monday, November 5, 2018 |
8:45 to 4:45 |
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Sacramento, CA |
Monday, November 12, 2018 |
8:45 to 4:45 |
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Toronto, ON |
Monday, November 12, 2018 |
8:45 to 4:45 |
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Albuquerque, NM |
Monday, November 26, 2018 |
8:45 to 4:45 |
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Jacksonville, FL |
Monday, November 26, 2018 |
8:45 to 4:45 |
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Oklahoma City, OK |
Monday, November 26, 2018 |
8:45 to 4:45 |
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Walthem, MA |
Monday, November 26, 2018 - Confirmed Presentation |
8:45 to 4:45 |
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Atlanta, GA |
Monday, December 3, 2018 |
8:45 to 4:45 |
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Baltimore, MD |
Monday, December 3, 2018 |
8:45 to 4:45 |
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Houston - Energy Corridor, TX |
Monday, December 3, 2018 |
8:45 to 4:45 |
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Overland Park, KS |
Monday, December 3, 2018 |
8:45 to 4:45 |
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San Antonio - Riverwalk, TX |
Monday, December 3, 2018 |
8:45 to 4:45 |
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Bethesda, MD |
Monday, December 10, 2018 |
8:45 to 4:45 |
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Paramus, NJ |
Monday, December 10, 2018 |
8:45 to 4:45 |
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Scottsdale, AZ |
Monday, December 10, 2018 |
8:45 to 4:45 |
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Windsor, CT |
Monday, December 10, 2018 |
8:45 to 4:45 |
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Charlotte - North, NC |
Monday, December 17 2018 |
8:45 to 4:45 |
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Pittsburgh - Downtown, PA |
Monday, December 17 2018 |
8:45 to 4:45 |
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Refer to our Seminar Cities Index for a list of our seminar locations. The individual city
pages provide a listing of topics being presented. Our Seminar Cities by Week provides a
guide to the locations during a calendar week.
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Seminar Highlights
The seminar reviews and answers the following questions:
- What is internal auditing and what are auditing standards?
- How to approach audit risk assessment and indivdual audit planning?
- What are the best practices in conducting audit fieldwork?
- What are the key sections in internal audit reports?
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Learning Objectives
- Attendees will discuss interpersonal and team-building skills
- Attendees will learn how to identify audit risks and plan fieldwork
- Attendees will understand how an audit fieldwork is conducted
- Attendees will learn how to evaluate and document internal controls
- Attendees will discover the best techniques for gathering audit evidence
- Attendees will see the importance of preparing workpapers
- Attendees will understand the audit communication process
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Key Issues on the Agenda
Introductions
Section 1 - Overview of Internal Auditing
- Myths about auditing
- What is internal auditing?
- What is internal control?
- How can auditors manage risks?
- Accounting vs auditing
Section 2 - Internal Auditing - Yesterday, Today and Tomorrow
- History of internal auditing
- Today's internal auditor
- Tomorrow's challenges
Section 3 - Auditor Guidance
- Auditor's guidance sources
- IIA International Professional Practices Framework (IPPF)
- How to use the "Code of Ethics"
- COSO 2013 guidance
- Sarbanes-Oxley Act
- Guidance for the external auditor
Section 4 - Role of the Audit Team
- Increasing responsibilities
- Auditor skills
- Auditor personality profile
Section 5 - Internal vs. External Auditing
- Responsibilities
- Financial audits
- Materiality and misstatements
- Financial statement assertions
Section 6 - Planning the Audit and Assessing Audit Risk
- Internal Audit "Life Cycle"
- Internal Audit "Risk Assessment"
- The focus on risk management
- Money In
- Money Out
- Risk - Control - Objective
- Planning the individual audit
- Audit procedures
Section 7 - Conducting Audit Fieldwork
- Recognize the important internal controls
- Conducting an "audit walkthrough"
- "Fieldwork" skills
- Audit interviewing
- Effective questioning technique (S.P.I.N.)
- Active listening skills
- Audit evidence
- Testing internal controls
- Sample size
- Examples
- Workpaper characteristics
- Workpaper review
Section 8 - Using Audit Software
- Data analysis
- Audit management
- Flowcharting
- Risk management
- Reporting and content management
Section 9 - Concluding the Audit
- Document the exceptions and findings
- Documents in the audit reporting process
- Audit exit meetings
- Building rapport
Section 10 - Summary
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Seminar Schedule
Experts Providing CPE Training Seminars
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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