Beginning Auditor Tools and Techniques

• Learn how to perform the work of internal auditing enabling you to carry out your assignment on a value-added audit engagement.
• Engage in a risk-based audit approach, from planning through process documentation to testing, analysis, and reporting.
• Understand internal auditing today.
• Become familiar with the scope and application of the Professional Practices Framework.
• Learn the concepts and terms that are central to internal auditing.
• View your own organization from an internal auditing perspective.
• Learn how to communicate and "sell" internal auditing results.

• Beginning auditors, with up to one year's experience in internal auditing
• Non-auditors responsible for business-controls, compliance, and quality-audit activities

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

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To become a successful auditor, a strong base of knowledge and an understanding of basic auditing skills are essential. With this program, new auditors, as well as non-auditors with internal control responsibilities, can learn the ins and outs of an audit from beginning to end.

Through team exercises, group discussion, and lectures, attendees will gain a foundation of knowledge that will allow them to properly prepare for and conduct a successful audit, using preliminary surveys and evidence-gathering techniques. A basic understanding of the roles of risks and internal controls in auditing will also be stressed, along with interpersonal and team-building skills.

Internal Auditing Today

• Define internal auditing
• Identify the roles of internal auditors
• Describe the components of the Audit Model

Risk Assessment and Risk Management

• Identify the components of risk assessment and risk management as they relate to internal auditing
• Identify the components of the COSO Internal Control Framework

Audit Planning

• Identify the requirements of annual audit planning.
• Identify the components of an audit project plan.

Interviewing

• Identify the components of interviews.

Process Documentation

• Identify the common forms used during process documentation.

Audit Programs

• Identify the components of audit programs.

Emerging Tools

• Identify emerging tools that automate the audit process.

Testing

• Identify the methods for obtaining and presenting audit evidence.

Reporting

• Identify the process to report audit findings.

Selling of the Results

• Identify the best practices for selling audit results to stakeholders.

Teamwork

• Identify the components required to function successfully on an audit team.