Course Outline
Auditing, Assessment and Organisational Governance
- Audit, assessment, review and inspection compared
- Internal audit's role in governance and assurance
The IIA International Standards and Code of Ethics
- IPPF structure and mandatory elements
- Independence, objectivity and ethical conduct
Risk-Based Audit Planning and Scoping
- Assurance mapping and the audit universe
- Engagement objectives, criteria and scope
Audit Programmes, Evidence and Working Papers
- ISO 19011 audit programme management
- Evidence sufficiency, reliability and documentation
Auditing ISO 9001 Quality Management Systems
- Process approach and risk-based thinking
- Nonconformity grading and process performance
Auditing ISO 27001 Information Security Management Systems
- Annex A control areas and risk treatment
- Information security evidence and sampling
Data Acquisition and Preparation for Audit Analytics
- Source systems, extracts and data dictionaries
- Data cleaning, validation and completeness checks
Analytical Procedures, Sampling and Full-Population Testing
- Trend, ratio and reasonableness analysis
- Sampling versus full-population testing
AI and Automation in the Audit Lifecycle
- Automated audit software and workflow tools
- Generative AI for evidence review and drafting
Anomaly Detection and Fraud Indicator Testing
- Rule-based and statistical outlier detection
- Benford's law analysis
- Duplicate, gap and exception testing
Forensic Auditing Fundamentals
- Fraud types and red flag indicators
- Investigation scope and evidence chain
Digital Forensics Tools and Evidence Handling
- Evidence imaging and hash verification
- Timeline and email metadata analysis
Cybersecurity Risk and IT General Controls
- Access, change and operations controls
- Cyber threat landscape for audit planning
Cloud Infrastructure and Data Protection Assessment
- Shared responsibility and cloud configuration review
- Data protection and privacy compliance checks
COSO Enterprise Risk Management
- Five components and ERM principles
- Risk appetite, tolerance and portfolio view
ISO 31000 Risk Management in Practice
- Risk management process and principles
- Risk registers, key risk indicators and treatment plans
Compliance Programmes and AML Prevention
- Compliance framework and control testing
- AML typologies, screening and transaction monitoring
Integrated Audit Simulation and Reporting
- End-to-end audit of a simulated business cycle
- Findings, root cause, reporting and follow-up
Requirements
- Experience in an administrative, financial, compliance or auditing role.
- Working comfort with spreadsheets for basic data handling.
- No programming or statistics background required.
Audience
- Reviewers and supervisors responsible for audit and assessment quality.
- Internal auditors and compliance officers moving into data-driven testing.
- Finance, administrative and operations staff who conduct or receive audits.
Testimonials (2)
The trainer was helpful..
Attila - Lifial
Course - Compliance and the Management of Compliance Risk
Speed of response and communication
