Elevate your expertise in external auditing with our in-depth PCAOB Audit Tradecraft Training Seminar, tailored for professionals conducting broker-dealer audits. This immersive 12 CPE credit course is specifically designed to enhance your auditing skills, ensuring compliance with PCAOB Audit Standards while equipping you with the tools to meet rigorous inspection demands. Perfect for external auditors, CPA firm staff, and compliance professionals, this seminar provides the knowledge and techniques to excel in PCAOB-regulated audits.
 
Why Attend?
1. Advance Your Understanding of PCAOB Standards - Dive deep into the latest PCAOB auditing standards and learn how to align your practices with ethical, regulatory, and professional responsibilities.
2. Strengthen Your Compliance Capabilities - Gain practical insights into tackling broker-dealer compliance challenges, ensuring adherence to federal oversight and regulatory requirements.
3. Sharpen Your Audit Methodologies - Master the techniques required to create impeccable audit workpapers and learn how to handle PCAOB inspection processes with confidence.
4. Earn 12 NASBA-Approved CPE Credits - Enhance your professional credentials while building a skill set that sets you apart in the auditing field.
 
What You'll Learn
This two-day seminar is committed to breaking down complex PCAOB expectations into actionable strategies.
 
Course Highlights:
1. Developing Essential Audit Skills
Effective risk assessment and planning strategies tailored for broker-dealer audits.
Best practices for documenting findings and ensuring precision under PCAOB regulations.
2. Exploring Audit Compliance Frameworks
Navigate the integration of the COSO Framework with entity-level and business process controls.
Understand key elements of Internal Control over Financial Reporting (ICFR) under PCAOB standards.
3. Mastering PCAOB Audit Techniques
Examine sample audit scenarios and learn how to resolve common inspection deficiencies.
Develop skills to address challenges related to testing, quality control, and independence requirements.
4. Enhancing Audit Team Competence
Foster critical values like ethics, adaptability, and analytical prowess in daily audit practices.
Promote close alignment of audit teams with PCAOB principles through intellectual curiosity and attention to detail.
 
Key Topics Covered:
Introduction to the PCAOB Broker-Dealer Program
Audit planning, standards, and tradecraft essentials
Evaluating and documenting ICFR compliance
Leveraging COSO principles for improved audit outcomes
Managing PCAOB inspection readiness and expectations
 
Benefits of Attending
Robust Compliance Knowledge: Master the nuances of PCAOB-regulated audits and build trust with stakeholders through enhanced transparency.
Improved Process Efficiency: Gain actionable strategies for conducting broker-dealer audits with precision and professionalism.
Enhanced Critical Thinking: Foster essential behaviors like inquisitiveness and ethical integrity to prevent audit failures.
CPE Accreditation: Earn 12 NASBA-approved credits to solidify your standing as an expert external auditor.
 
Event Details
Schedule: Two-day virtual seminar, held every eight weeks, on Wednesday and Thursday from 9 a.m. to 3 p.m. CST, including a 30-minute lunch break.
Format: Group Internet-Based training featuring real-world examples and scenario-based learning.
CPE Credits: 12 NASBA-Approved CPE credits (Auditing).
Cost: $825.
Private Training Available: Tailored sessions for groups of two or more participants.
 
Who Should Attend?
This seminar is ideal for professionals responsible for conducting audits regulated by the PCAOB or seeking to enhance their tradecraft, including:
External Auditors: Improve your ability to conduct audits with precision and rigor.
CPA Firm Staff: Strengthen firm-wide approaches to broker-dealer audits.
Compliance Professionals: Enhance the integrity of your audit methodology under strict PCAOB requirements.
 
Why PCAOB Compliance Matters
The PCAOB provides assurance and oversight for auditors of public companies and broker-dealers, safeguarding the accuracy of financial statements. Understanding and adhering to these standards is essential for:
Ensuring Audit Integrity: Showcase commitment to professional ethics and meticulous financial oversight.
Avoiding Deficiencies: Mitigate compliance pitfalls common in PCAOB inspection reports.
Building Public Trust: Demonstrate a reliable and robust audit process to investors and regulators.
 
Register Now
Take the lead in broker-dealer auditing by mastering PCAOB tradecraft. Acquire the skills, knowledge, and credentials to meet today’s regulatory and professional challenges head-on.
 
Register today to secure your spot in this invaluable training seminar and elevate your role in the auditing profession!