Course Outline
Auditing, Evaluation, and Organizational Governance
- Differentiation between audit, assessment, review, and inspection processes
- The role of internal audit in enhancing governance and assurance
IIA International Standards and Code of Ethics
- Structure of the IPPF and mandatory compliance elements
- Requirements for independence, objectivity, and ethical conduct
Risk-Based Audit Planning and Scoping
- Mapping assurance activities and defining the audit universe
- Defining engagement objectives, criteria, and scope
Audit Programmes, Evidence, and Working Papers
- Management of audit programs under ISO 19011 standards
- Sufficiency, reliability, and documentation of evidence
Auditing ISO 9001 Quality Management Systems
- Application of process approaches and risk-based thinking
- Classification of nonconformities and assessment of process performance
Auditing ISO 27001 Information Security Management Systems
- Annex A control domains and risk treatment strategies
- Collection of information security evidence and sampling methods
Data Acquisition and Preparation for Audit Analytics
- Source systems, data extracts, and data dictionaries
- Data cleansing, validation, and completeness verification
Analytical Procedures, Sampling, and Full-Population Testing
- Trend, ratio, and reasonableness analysis techniques
- Comparison of sampling methods versus full-population testing
AI and Automation in the Audit Lifecycle
- Implementation of automated audit software and workflow tools
- Use of generative AI for evidence review and report drafting
Anomaly Detection and Fraud Indicator Testing
- Rule-based and statistical outlier detection methods
- Application of Benford’s law analysis
- Testing for duplicates, gaps, and exceptions
Forensic Auditing Fundamentals
- Identification of fraud types and red flag indicators
- Defining investigation scope and maintaining evidence chains
Digital Forensics Tools and Evidence Handling
- Evidence imaging and hash verification procedures
- Analysis of timelines and email metadata
Cybersecurity Risk and IT General Controls
- Access, change, and operations control assessments
- Evaluating the cyber threat landscape for audit planning
Cloud Infrastructure and Data Protection Assessment
- Shared responsibility models and cloud configuration reviews
- Compliance checks for data protection and privacy
COSO Enterprise Risk Management
- The five components and principles of ERM
- Risk appetite, tolerance, and portfolio-level views
ISO 31000 Risk Management in Practice
- Risk management processes and foundational principles
- Risk registers, key risk indicators, and treatment plans
Compliance Programmes and AML Prevention
- Compliance frameworks and control testing methodologies
- AML typologies, screening, and transaction monitoring
Integrated Audit Simulation and Reporting
- End-to-end audit of a simulated business cycle
- Documentation of findings, root cause analysis, and follow-up
Requirements
- Experience in administrative, financial, compliance, or auditing roles.
- Working proficiency with spreadsheets for basic data handling.
- No prior programming or statistics background required.
Audience
- Reviewers and supervisors responsible for the quality of audit and assessment functions.
- Internal auditors and compliance officers transitioning to data-driven testing methodologies.
- Finance, administrative, and operations personnel who conduct or receive audits for government entities.
Testimonials (2)
The trainer was helpful..
Attila - Lifial
Course - Compliance and the Management of Compliance Risk
Speed of response and communication
