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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
Module Number(s) 7271EN
Course Features Audio
Course Features Mobile
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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
Module Number(s) 7271EN
Course Features Audio
Course Features Mobile