A Deep Dive Course on the true basics of Internal Auditing.
Do you find it difficult to find good training for your new auditors? Do you have a rotational program and constantly need basic audit training for new hires or transfers into the department? Audit 101 is the perfect course to send new auditors to learn the basics of auditing. This course is an overview of the auditing field, key terminology, and basic beginner steps on how to audit. New auditors should not start their new jobs without taking this course!
Who Should Attend: Financial, Operational, and Information Technology Auditors with less than two years of audit experience (NASBA Field of Study: Auditing)
Agenda:
I. Introduction and Background a. Definition of Internal Auditing b. What do Internal Auditors do?
II. History of Internal Auditing a. Beginnings b. Traditional vs. Modern Internal Auditing
III. Overview of Internal Audit Guidance a. Institute of Internal Auditors/International Professional Practices Framework b. Code of Ethics c. Standards d. Practice Advisories
IV. Internal Audit Planning a. IIA Requirements b. Long Range Planning c. Short Range Planning d. Audit Risk Assessment
V. Internal Audit Process a. Audit Assigned to Audit Plan b. Preliminary Work c. Development of Audit Work program d. Conducting Fieldwork e. Documenting Results and Observations
VI. Sampling Methodologies and Overview of Application a. Non-statistical Sampling b. Statistical Sampling
VII. Internal Audit Wrap-Up a. Audit Reporting b. Effective Exit Conferences c. Audit Follow-Up Basics
VIII. Flowcharting a. Basics b. When to Utilize c. Storyboarding
IX. Interview Techniques a. Basics b. Active Listening c. Non-Verbal Active Listening d. Neurolinguistic Eye Cues
X. Future Steps and Hurdles a. Discussion of future trends and techniques
XI. IT Auditing
Internationally-Recognized Speaker on Internal Audit, IT Audit and People-Centric Skills
Danny M. Goldberg is the Founder of GoldSRD (www.GoldSRD.com), a leading provider of Staff Augmentation, Executive Recruiting and Professional Development services. Danny is a well-known speaker on internal auditing and People-Centric Skills, co-authoring and coining the term People-Centric Skills: Communication and Interpersonal Skills for Internal Auditors, via Wiley Publications. This is the first book published specifically to address the wide-ranging topic of communication skills for internal auditors. It has been offered through the IIA and ISACA bookstores since July 2015 and has sold over 4,000 copies. People-Centric Skills, 2nd Edition, the follow-up to this critically acclaimed book is due out in July 2020. Danny has over 22 years of professional experience, including five years leading/building internal audit functions. Danny was named as one of the Fort Worth Business Press 40 Under 40 for 2014. He is a thought-leader in the profession, recognized through his numerous articles in trade magazines and consistent rating as a top speaker in the industry. Mr. Goldberg is also accredited as the Professional Commentator of the Bureau of National Affairs - Internal Audit: Fundamental Principles and Best Practices (Professional Commentator). This book was authored by renowned audit scholars Curtis C. Verschoor and Mort A. Dittenhofer – co-author of Sawyer’s Internal Auditing. Mr. Goldberg is an active member of the Institute for Internal Auditors, both at a local and national level. Leadership roles include: • Current IIA Dallas Chapter Board Member and Programs Committee Co-Chair • Former IIA Fort Worth Chapter Board Member and Programs Committee Co-Chair • Former Member of the IIA North America Learning Committee (2015) • Former Volunteer Chairman of the American Lung Association (2014) • Former Audit Committee Chairman/Director at numerous religious organizations
