Course Outline
Foundations of Auditing, Assessment, and Organizational Governance
- Distinguishing between audit, assessment, review, and inspection
- The role of internal audit in governance and assurance
IIA International Standards and Code of Ethics
- Structure of the IPPF and mandatory components
- Maintaining independence, objectivity, and ethical behavior
Risk-Based Audit Planning and Definition
- Mapping assurance activities and defining the audit universe
- Establishing engagement objectives, criteria, and scope
Audit Programs, Evidence, and Documentation
- Managing audit programs per ISO 19011
- Ensuring evidence is sufficient, reliable, and properly documented
Auditing ISO 9001 Quality Management Systems
- Applying the process approach and risk-based thinking
- Grading nonconformities and evaluating process performance
Auditing ISO 27001 Information Security Management Systems
- Addressing Annex A control areas and risk treatment
- Collecting information security evidence and applying sampling techniques
Preparing Data for Audit Analytics
- Understanding source systems, data extracts, and data dictionaries
- Performing data cleaning, validation, and completeness checks
Analytical Methods, Sampling, and Full-Population Testing
- Conducting trend, ratio, and reasonableness analysis
- Comparing sampling methods with full-population testing
Integrating AI and Automation into the Audit Lifecycle
- Utilizing automated audit software and workflow solutions
- Leveraging generative AI for evidence review and report drafting
Detecting Anomalies and Testing for Fraud Indicators
- Using rule-based and statistical methods to detect outliers
- Applying Benford's law analysis
- Testing for duplicates, gaps, and exceptions
Core Principles of Forensic Auditing
- Identifying types of fraud 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 Risks and IT General Controls
- Reviewing access, change, and operations controls
- Incorporating the cyber threat landscape into audit planning
Evaluating Cloud Infrastructure and Data Protection
- Assessing shared responsibility and cloud configurations
- Conducting data protection and privacy compliance checks
COSO Enterprise Risk Management
- Exploring the five components and ERM principles
- Understanding risk appetite, tolerance, and portfolio views
Applying ISO 31000 Risk Management
- Following the risk management process and principles
- Maintaining risk registers, key risk indicators, and treatment plans
Compliance Programs and AML Prevention
- Implementing compliance frameworks and testing controls
- Addressing AML typologies, screening, and transaction monitoring
Integrated Audit Simulation and Reporting
- Executing an end-to-end audit of a simulated business cycle
- Documenting findings, root causes, reports, and follow-up actions
Requirements
- Practical experience in administrative, financial, compliance, or auditing roles.
- Proficiency in using spreadsheets for fundamental data management tasks.
- No prior background in programming or statistics is necessary.
Target Audience
- Reviewers and supervisors tasked with maintaining audit and assessment quality.
- Internal auditors and compliance officers transitioning toward data-driven testing methods.
- Finance, administrative, and operations personnel who either perform or undergo audits.
Testimonials (2)
The trainer was helpful..
Attila - Lifial
Course - Compliance and the Management of Compliance Risk
Speed of response and communication
