The Sacramento Chapter of the Institute of Internal Auditors Presents:
Monday, October 14, 2013, 8:00 am - 5:00 pm. (Lunch will be provided)
Audit 201 helps professionals advance with this one day course on becoming an effective Audit Senior. New audit team leaders must supervise and produce audit work and continually balance a hectic schedule so that every project meets audit management expectations.
This training seminar gives Audit Seniors insight into how to review a file, manage a project and draft audit reports. Additionally, this course will cover the interpersonal skills to supervise the audit team and interactions with auditees, even audit management.
This timely, one-day training seminar is designed for the internal auditor moving up to a team leadership position and others who have to create and lead small audit teams.
Prerequisite: None Advance Preparation: None
Learning Level: Basic, Intermediate Field of Study: Auditing
Delivery Method: Group-Live CPE: Eight (8) Hours
ü Attendees will learn how to identify audit risk and appropriate audit planning tools and techniques
ü Attendees will learn how to evaluate existing audit documentation
ü Attendees will discover the best techniques for team management
ü Attendees will discuss interpersonal and team-building skills
ü Attendees will understand the audit report creation process
Who Should Attend: Financial, Operational, Governmental, and Information Technology Auditors in the process of advancing to Senior.
Location: HQ-2 Building, 3188 Zinfandel Drive, Rancho Cordova, CA 95670
Price: Members $195 and Non-Members $245
Danny M. Goldberg has over 15 years of audit experience, including five as a CAE/Audit Director at two diverse companies. Danny was the Director of SOX Compliance and Corporate Audit at Dr Pepper Snapple Group, where he led the Year One SOX Compliance efforts. Prior to his tenure at Dr Pepper, Danny was the Chief Audit Executive at Tyler Technologies, a publicly traded technology company (Danny was hired to build the department from the ground up).
Danny is a Certified Public Accountant, Certified Internal Auditor, Certified Information Systems Auditor, Certified in the Governance of Enterprise Information Technology, Certified in Risk and Information Systems Control, Certified in Risk Management Assurance, has obtained his Certification in Control Self-Assessment and is a Chartered Global Management Accountant.
I. Introduction and Background
a. Roles and Responsibilities of an Audit Senior
b. The Evolution of Staff to Senior
II. The Risk Assessment Process
a. Audit Senior Role
b. Audit Preliminary Work
c. Audit Preliminary Risk Assessment
III. Audit Interviews
a. Interview Techniques
b. Documenting an Interview
IV. Managing an Audit Engagement
a. Appropriate Audit Planning
b. Developing an Audit Workprogram
c. Managing a Budget and Schedule
d. Delineation of Duties
e. Reviewing an Audit File
V. Managing an Audit Team
a. Personality Types/Styles
b. Managing Minimal Age Differences
c. Deadline Management
VI. Internal Audit Wrap-Up
a. Audit Reporting
b. Effective Exit Conferences
c. Audit Follow-Up
VII. Managing Up
a. Managing Expectations
b. To Commit or Not to Commit
VIII. Interpersonal Skills
IX. Managing the Auditee
X. Creating/Reviewing Audit Findings and Reports
The Sacramento Chapter of the Institute of Internal Auditors is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.
NO REFUNDS WILL BE GRANTED FOR CANCELLATION. However, cancellations received within 48 hours will receive a credit to attend a future seminar within one year.
Complaint Resolution Policy
The Sacramento Chapter of the Institute of Internal Auditors makes every effort to offer timely, well-delivered, and relevant training programs. Please contact Dave Holbrook, VP Seminars at IIAsacramento@Gmail.com to register complaints related to the timeliness/accuracy of CPE credit reporting, program delivery, or program content.
Attendees are required to Pre-Pay by credit card, debit card, a PayPal account or by check. No cash will be accepted at the door. Registration for this event ends on Thursday, October 10, 2013.
· PayPal - Select the PayPal box if you are paying by Credit Card, Debit Card or PayPal account.
· Check - Select the Check box if you are paying by check. Make your check payable to: Institute of Internal Auditors, Sacramento Chapter and send the check to the following address:
The Golden 1 Credit Union
c/o Internal Audit Department - IIA
Post Office Box 278598
Sacramento, CA 95827- 8598
· Purchase Order - Select the Purchase Order box if your company or government agency requires an invoice. Then email us your company name, mailing address, phone number and contact person to firstname.lastname@example.org. We will then invoice them prior to the event.
Click on this link to Register for the event.