Audit Manager Tools and Techniques - Training - The Institute of Internal Auditors (IIA)
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Audit Manager Tools and Techniques

Your opportunity to...
  • Plan, manage, and implement an audit from beginning to end.
  • Identify, prioritize, and measure risks and their role in auditing.
  • Understand how to identify, document, and evaluate internal controls.
  • Use the preliminary survey to determine how and what to audit.
  • Discover the best techniques for gathering audit evidence and preparing work papers.
  • Enhance and practice interpersonal and team-building skills throughout the audit.
  • Understand the importance of the audit communication process.
  • Effectively manage the audit staff and its resources.
  • Develop effective channels of communication with the CAE and executive management.
  • Master audit management techniques through effective planning, problem solving, motivation, and vision.
  • Learn techniques for managing time, assigning and delegating tasks, and documenting and presenting audit results.
  • Create an environment of trust, teamwork, accountability, and responsibility and develop strategies to increase participation and cooperation of the audit staff.
Calling all...
  • New audit managers with less than six months of audit management experience.
  • Non-auditors with responsibility for managing staff and risk-based environments.
Course Description

Prerequisites: None
Advanced Preparation: None
Delivery Method: Group-Live

Transitioning from staff auditor to manager of an auditing team means learning and mastering an entirely new skill set. Audit managers must not only be efficient auditors but also effective communicators, teachers, and active listeners. This enlightening seminar focuses on providing new managers with the tools they need to lead effectively in an internal auditing environment.

Through practical exercises and case studies, participants will learn how to manage the roles and relationships of the diverse parties involved in the auditing process. Participants will learn how to maintain lines of communication with the CAE and executive management, and problem solve while motivating and delegating to a team.

Course Outline
The Internal Audit Department’s Structure
  • Identify the structure of the internal audit department and the positions that make up a typical audit staff.
  • Identify the professional Standards that address staffing and managing the internal audit function.
  • Identify the key information that should be included in an organization’s mission statement and audit charter.
  • Identify factors that impact how internal audit resources are implemented.
  • Identify the elements of a typical audit cycle.
Setting the Tone
  • Identify the roles and responsibilities; knowledge, skills, and abilities (KSA); and other factors that guide the vision and expectations of the CAE.
  • Recognize the role of internal auditing within an organization.
  • Recognize career options for internal auditors.
Building Rapport
  • Identify ways to establish clear and effective communication and practice building rapport.
  • Identify tools and techniques to motivate people; learn the difference between manipulation and motivation; learn how to motivate people using incentives and by understanding the hierarchy of needs.
  • Recognize two types of personality profiling tools, the Myers-Briggs Indicator and Neurolinguistic Communication Programming (NCP) and how they are applied.
  • Identify characteristics of good and bad managers.
Managing the Audit
  • Identify key elements of audit workpapers and ways to manage them.
  • Identify and practice methods for managing time, organizing, and prioritizing during an audit.
The Reporting Process
  • Identify ways internal auditors can provide value-added results to their organization.
  • Identify audit report considerations and methodologies that add value for audit clients.
  • Recognize details that the audit committee should be cognizant of.
  • Identify legislation surrounding internal control.
Innovative Problem Solving
  • Define innovation, innovation process, and innovative thinking.
  • Identify the steps in the innovative problem solving process.
Marketing the Audit Function
  • Identify ways to market the audit function by promoting the profession and communicating with the audit committee.
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