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Auditing: The Basics

The internal auditor is an essential role in any bank. This introductory module provides you with an overview of the bank auditing.
SKU: P2942EN
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This module is designed to introduce you to internal auditing and provide tools and step-by-step procedures to establish and maintain an effective internal audit function within your bank.

This course includes an examination.

Learning Objectives:

  • The steps to establish an internal audit function
  • Phases of a complete audit cycle
  • Methods for documenting and evaluating internal controls
  • Various approaches for reporting audit results
  • Sampling techniques
  • The importance of following up on audit recommendations
  • Auditor responsibilities concerning fraud

Course Outline:

  • Understanding the Auditor’s Role

o   Auditing

o   Ethics

o   The Institute of Internal Auditors

o   Guidance

o   Internal auditing

o   Internal audit departments

o   Audit committees

  • Planning an Audit

o   Description

o   Planning

o   Audit objectives

o   Preliminary audit survey

  • Conducting an Audit: Internal Controls and Fieldwork

o   Internal control challenges

o   Types of control

o   Control systems

o   Evaluating internal controls

o   Flowcharts

o   Control environment

o   Risk assessment: identifying changed conditions

o   Information and communications

o   Monitoring

o   Control activities

o   Worksheet for control evaluations

o   Audit programs

o   Fieldwork

o   Audit evidence

o   Testing

o   Sampling

  • Internal Audit Plan and Other Administrative Matters

o   Developing an internal audit plan

o   Written policies and procedures

o   Training and supervision

  • Reporting Audit Results

o   Format

o   Report writing

  • Fraud

o   Internal auditor responsibilities

o   Common types of fraud

o   Common types of bank specific fraud

o   Detecting fraud

Duration:

0.83 hours

Features:

Audio, hybrid

Module(s):

7271EN

Products specifications
Course Language English
Length Range Over 60 Minutes
Length (Hours) 1.67
Course Features Audio
Course Features Mobile
Module Number(s) 7271EN

This module is designed to introduce you to internal auditing and provide tools and step-by-step procedures to establish and maintain an effective internal audit function within your bank.

This course includes an examination.

Learning Objectives:

  • The steps to establish an internal audit function
  • Phases of a complete audit cycle
  • Methods for documenting and evaluating internal controls
  • Various approaches for reporting audit results
  • Sampling techniques
  • The importance of following up on audit recommendations
  • Auditor responsibilities concerning fraud

Course Outline:

  • Understanding the Auditor’s Role

o   Auditing

o   Ethics

o   The Institute of Internal Auditors

o   Guidance

o   Internal auditing

o   Internal audit departments

o   Audit committees

  • Planning an Audit

o   Description

o   Planning

o   Audit objectives

o   Preliminary audit survey

  • Conducting an Audit: Internal Controls and Fieldwork

o   Internal control challenges

o   Types of control

o   Control systems

o   Evaluating internal controls

o   Flowcharts

o   Control environment

o   Risk assessment: identifying changed conditions

o   Information and communications

o   Monitoring

o   Control activities

o   Worksheet for control evaluations

o   Audit programs

o   Fieldwork

o   Audit evidence

o   Testing

o   Sampling

  • Internal Audit Plan and Other Administrative Matters

o   Developing an internal audit plan

o   Written policies and procedures

o   Training and supervision

  • Reporting Audit Results

o   Format

o   Report writing

  • Fraud

o   Internal auditor responsibilities

o   Common types of fraud

o   Common types of bank specific fraud

o   Detecting fraud

Duration:

0.83 hours

Features:

Audio, hybrid

Module(s):

7271EN

Products specifications
Course Language English
Length Range Over 60 Minutes
Length (Hours) 1.67
Course Features Audio
Course Features Mobile
Module Number(s) 7271EN