Course Outline
Auditing, Evaluation, and Organizational Governance
- Distinguishing between auditing, evaluation, review, and inspection
- The role of internal audit in governance and assurance
IIA International Standards and Code of Ethics
- Structure of the IPPF and required components
- Maintaining independence, objectivity, and ethical behavior
Risk-Based Audit Planning and Definition
- Mapping assurance activities and defining the audit universe
- Setting engagement objectives, criteria, and scope
Audit Programs, Evidence, and Working Papers
- Managing audit programs according to ISO 19011
- Ensuring sufficient, reliable evidence and proper documentation
Auditing ISO 9001 Quality Management Systems
- Applying the process approach and risk-based thinking
- Grading nonconformities and assessing process performance
Auditing ISO 27001 Information Security Management Systems
- Reviewing Annex A control areas and risk treatment
- Gathering information security evidence and applying sampling techniques
Data Acquisition and Preparation for Audit Analytics
- Understanding source systems, extracts, and data dictionaries
- Performing data cleaning, validation, and completeness verification
Analytical Procedures, Sampling, and Full-Population Testing
- Conducting trend, ratio, and reasonableness analyses
- Comparing sampling methods with full-population testing
AI and Automation in the Audit Lifecycle
- Utilizing automated audit software and workflow tools
- Leveraging generative AI for evidence review and report drafting
Anomaly Detection and Fraud Indicator Testing
- Implementing rule-based and statistical outlier detection
- Applying Benford's law analysis
- Testing for duplicates, gaps, and exceptions
Foundations of Forensic Auditing
- Identifying fraud types and red flag indicators
- Defining investigation scope and maintaining the chain of evidence
Digital Forensics Tools and Evidence Management
- Creating evidence images and verifying hashes
- Analyzing timelines and email metadata
Cybersecurity Risk and IT General Controls
- Evaluating access, change, and operations controls
- Assessing the cyber threat landscape for audit planning
Assessing Cloud Infrastructure and Data Protection
- Reviewing shared responsibility models and cloud configurations
- Checking compliance with data protection and privacy standards
COSO Enterprise Risk Management
- Understanding the five components and ERM principles
- Defining risk appetite, tolerance, and portfolio perspectives
Practical Application of ISO 31000 Risk Management
- Following the risk management process and core principles
- Maintaining risk registers, key risk indicators, and treatment plans
Compliance Programs and AML Prevention
- Testing compliance frameworks and controls
- Monitoring AML typologies, screening, and transactions
Integrated Audit Simulation and Reporting
- Conducting an end-to-end audit of a simulated business cycle
- Documenting findings, root causes, reports, and follow-up actions
Requirements
- Professional experience in administrative, financial, compliance, or auditing roles.
- Proficiency in using spreadsheets for basic data management tasks.
- No prior knowledge of programming or statistics is necessary.
Target Audience
- Reviewers and supervisors accountable for the quality of audits and evaluations.
- Internal auditors and compliance officers transitioning to data-driven testing methods.
- Finance, administrative, and operations personnel who either conduct or undergo audits.
Testimonials (2)
The trainer was helpful..
Attila - Lifial
Course - Compliance and the Management of Compliance Risk
Speed of response and communication
