Advanced Auditing for In-Charge Auditors

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Seminar Brochure

Tested Techniques for Developing Audit Programs and Managing Fieldwork

SEMINAR FOCUS AND FEATURES
In this three day session you will learn all of the elements involved in traditional and operational auditing from the unique perspective of the in-charge position. With your peers, you will review such concepts as audit program flexibility, risk assessment, priority setting during fieldwork, and effective oral and written communications of audit findings. This course covers preliminary fieldwork, audit program development, COSO, self-assessment, and improving the control environment.

WHO SHOULD ATTEND
Financial, operational, IS and external auditors with two or more years of audit experience; quality assurance personnel; data security specialists

WHAT YOU WILL LEARN

• Managing Fieldwork
• how to plan a productive audit
• ten key issues in fieldwork management
• reviewing audit workpapers
• evaluating auditors
• maximizing your role as interface between the auditee, audit management, and the audit staff
• Audit Concepts: The In-Charge Perspective
• differences in planning for operational, financial, and compliance audits
• auditing complex systems of internal controls
• selling control findings
• The Changing Control Environment
• COSO components and categories
• impact on the in-charge
• workable approach
• the role of control self-assessment
• Marketing and Selling the Audit Function 100+Tips
• Risk Assessment Strategies
• detailed review of five risk methods for developing audit programs
• pivotal role in modern auditing
• components of successful risk models
• using risk assessment in building the annual audit plan
• Preliminary Fieldwork, Planning, and Audit Program Development
• how to make the program provide added value
• implementing go-no-go strategy
• building an audit program when there are no previous programs
• developing a flexible audit program
• effective uses of the audit program as a management tool
• critical role of analytical planning
• 25 preliminary business issues to address in program development
• Fundamentals of Project Management
• a project defined
• issues that make project management relevant to internal audit
• why project management is critical to auditors
• elements of project management technology
• components of the project plan
• scheduling and controlling the work: checklists
• project scheduling methodologies
• bar charting and network diagrams
• Audit Project Management Concerns
• project approaches to audit teams
• key factors to successful audit/project management
• the audit/project planning process
• using project management to effectively plan audits
• time estimate difficulties
• common workflow planning problems
• resource management
• strategies for improving time management
• Fraud Awareness
• anticipating audits with a high potential for fraud occurrences
• indication of fraud
• action steps for preventing fraud
• Dealing with Clients and Co-Workers
• client communication
• co-workers: getting through bad days in the office
• Effective Communications
• getting reports out faster
• selling audit findings at the closing conference
• managing meetings
• current report-writing strategies
• Case Studies

22 CPEs

Quote From Past Participants:
"Very enlightening. Good solid information I can put to use on the job." -- Internal auditor, California State Board of Equalization

Past Participants Include:
Some of the organizations represented at MIS seminars:

• Reynolds & Reynolds
• U.S. Department of Revenue
• NY City Board of Education
• University of Kentucky
• Sundstrand
• GPU Service Corporation
• First Tennessee Bank
• Crum & Forster
• Banco Popular de Puerto Rico
• Carrier
• Union Camp
• New Jersey Highway Authority
• Georgia Pacific
• E.I. DuPont
• Pacific Bell
• The Torrington Co.
• Volvo
• Dayton Hudson Department Stores
• Goodyear Tire & Rubber
• National Liberty
• Scott & White Memorial Hospital
• Tenneco
• Public Service Co. of Colorado
• First Interstate Bank of Oklahoma
• Signet Bank
• Warner Lambert
• City of Orlando
• Monsanto
• Towers Department Stores
• RJR Nabisco
• Shell Oil
• Tektronix
• Stroh Brewery Co.
• University of Minnesota

Sponsor Background:
MIS Training Institute was founded in 1978 for the express purpose of providing quality training exclusively for audit and information security professionals. A leader in the field of audit and security education, its seminar curriculum offers over 70 courses in the areas of Modern Internal Auditing, EDP Auditing, Data Base, Microcomputer, Systems, and Software, Data Communications, and Information Security. In its dedication to serving the audit and information security community, MIS also offers a variety of products and services which include special topical conferences, video training, publications, microcomputer software, and consultation.

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