Corporate Compliance Seminars - Left Menu, General Pages
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Continuous Auditing & Monitoring Training Seminar
Continuous monitoring and auditing involves performing control and risk assessments on a frequent basis, if not virtually in real-time. As technology has improved there has been an increased adoption of continuous auditing as a vital monitoring tool. This seminar walks through the process of continuous auditing from start to finish and prepares you to create your own customized continuous audit program.
This comprehensive seminar provides unique training on how to design, implement and improve a continuous auditing and monitoring approach for auditors. We present examples from our clients and specific controls to establish for monitoring on a regular basis. This continuous approach provides more timely assessment of the operation of internal controls.
Continuous auditing has changed the internal auditing paradigm from periodic reviews of a small sample of transactions to ongoing audit testing of volumes of transactions. This CPE seminar focuses on identifying what must be done to make effective use of information technology in support of continuous auditing.
This timely, four hour CPE seminar is designed for internal audit management, compliance managers, controllers, CFO's and others who have to create value within the internal audit function.
Follow the below links for further detail information:
. Seminar Highlights
. Learning Objectives
. Key Issues on the Agenda
The retail cost of the virtual CPE seminar is $240.00 for the first attendee from a single organization. Discounts are available for more than one attendee from each organization: (2) $450.00 (3) $650.00 (4) $810.00 (5) $960.00.
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 4 Auditing CPE Hours (YB). A certificate of completion will be provided.
Virtual Continuous Auditing & Monitoring Events
Future In-Person Continuous Auditing & Monitoring Events
In response to the Coronavirus Pandemic, we will start providing all our events using a distant learning approach.
In some cities we have local instructors and are providing limited events on a request basis. If you have two or three professionals who would like in person instruction please contact us.
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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
- Continuous Auditing Methodology Defined
- Best Practices in the Internal Audit Function
- Steps to implement a continuous auditing program
- Value of continuous auditing and monitoring
- Application to Sarbanes-Oxley testing
- Review of automated audit tools: IDEA, ACL, Approva, etc.
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Learning Objectives
- Attendees will understand the continuous auditing concepts
- Attendees will see how to improve interperiod controls monitoring
- Attendees will learn how to use a continuous auditing approach
- Attendees will improve cost-effectiveness of their internal audit function
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Key Issues on the Agenda
Introductions
Section 1 - Introduction and Definitions
- Do you use personal continuous auditing & monitoring?
- What is Continuous Monitoring (CM)?
- What is Continuous Auditing (CA)?
- What is assurance?
- What is continuous assurance?
- "The Inverse Relationship"
- COSO 2013 - Seventeen Integrated Principles
Section 2 - Client Examples of CAM Systems
- Monitoring a financial database
- Monitoring a fleet
- Banking regulatory reporing
- Retail dashboards
- IT security administration
- Disbursement fraud
- Call Center operations
Section 3 - Software Market Leaders
- Traditional approach to auditing
- Benefits of a CAM program
- Auditor tools
- Substantive testing
- Internal Control testing
- Challenges and other considerations
Section 4 - Evaluating the "Build" or "Buy" Decision
- If we build it we own it
- General Audit software
- Buy criteria
- Substantive testing
- Internal Control testing
- Challenges and other considerations
Section 5 - Designing the Continuous Auditing Program
- Culture and politics
- Are you ready for continuous auditing?
- Challenges of implementation
- Define the objectives
- Project management techniques
- Identity risks, controls and audit tests
- Establish data use requirements
- Pilot the system
- Refine the system
- Report and "manage" results
Section 6 - Implementing Continuous Auditing for Sarbanes-Oxley Act Compliance
- Sarbanes-Oxley Act
- SEC focus on "ICFR"
- SOX Guidance
Section 7 - Implementing Continuous Auditing for Information Technology
- Access security
- Development, change, and implementation
- Operations, backup, restoration and recovery
- IT vendor management
Section 8 - Implementing Continuous Auditing for Financial Control and Fraud
- Occupational Fraud
- Areas of Fraud
- Excluded parties listings
- Financial transactions and fraud
Section 9 - Case Study Example
- IDEA and Monitor
- Usage Examples
Section 10 - Summary and Wrap-up
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Seminar Schedule
Experts Providing CPE Training Events
Corporate Compliance Seminars (CCS) was created by experts who enjoy providing CPE training events. All our experts have years of experience in providing training courses, workshops and consulting on internal controls, internal auditing, information technology, cybersecurity and accounting related subjects. We have focused on SOX, COSO, PCAOB, COBIT, CMMI, GRC, GAAP, IFRS, AICPA, GAO, NAIC, ISO, and IIA Standards. We are your best source for continuing professional education (CPE).
Our programs, live in-person, webinar and on-demand, provide CPE for professionals with CPA, CGA, CIA, CFE, CISA, CMA and CA designations. CCS is focused on providing the best learning programs in using three distinct distribution channels: live in-person events, virtual webinar events and on-demand self-study e-learning.
Corporate Compliance Seminars presents CPE to a range of professionals, auditors, accountants, finance staff, compliance personnel, information technology (IT) professionals, Boards of Directors and Audit Committees. We examine the details of risk management, Sarbanes-Oxley Act compliance, Model Audit Rule (MAR) compliance, auditing, internal controls, cybersecurity and compliance, and fraud prevention and detection.
Within the U.S.A. marketplace, Corporate Compliance Seminars allows the attendee to earn NASBA CPE credit.
Our events 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 NAIC regulatory model regulations and acts .
Our live in-person events are generally presented in a small classroom setting with two to five attendees. Over the last few weeks, we have come to the understand we need to provide distant e-learning events. We are now in the process of moving all our content to an online available status. We have created distant e-learning opportunities using both a virtual webinar event approach and on-demand e-learning self-study modules. These two e-learning approaches: webinars and on-demand self-study with extended web access to our content into the global continuing professional development (CPD) marketplace. In the webinar e-learning events we will limit the number of students to maximize the interaction between the live instructor and attendees. The on-demand self-study e-learning modules will be created and offered to meet the NASBA CPE credit requirements .
Our seminars provide CPE for the CPA, CFE, CIA, CISA, auditors and others with effective and engaging internal audit training courses.
Our instructors have had direct experience in the following industries: financial activities, bank, insurance, healthcare, construction, leisure and hospitality, professional and business services, mining and oil & gas extraction, manufacturing, educational, government agencies, transportation, software, technical, hi-tech and agricultural.
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