Auditor-in-charge Tools and Techniques
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- Reynard Paul
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1 Auditor-in-charge Tools and Techniques Leading an audit team not only requires a great deal of knowledge, it also requires dedication, efficiency, and effective leadership skills. Audit leaders today need to know how to run a team properly so that every project runs smoothly. In other words, they need the skills to lead with confidence. Whether you are a recently promoted auditor-in-charge, assuming the role, or seeking a refresher, this course covers the organizational, time management and problem solving skills necessary to manage a successful team. Through the use of a case study that is woven into the course, participants will learn about the roles and responsibilities of an auditor-in-charge for the phases of an internal audit.
2 Course Duration: 4 Days CPE Hours Available: 32 Experience Level: Intermediate Field of Study: Auditing Prerequisites: None Advance Preparation: None Delivery Format: Seminar, On-site
3 Course Outline: IPPF for the Auditor-in-charge Apply IPPF Standards to the role of the auditor-in-charge (AIC). Recall the core elements of the IPPF. Recognize how the IPPF Standards relate to the AIC role. The Role of an Auditor-in-charge Demonstrate the qualities required to be an effective auditor-incharge. Contrast the roles of AIC and staff auditor. Identify the responsibilities of an AIC. Identify leadership qualities desired in a leader. Recall the knowledge and skills required of an AIC. Meet Bob Brown Discuss the Fletcher Corp. case study background. Compare the Fletcher Corp. audit department with yours. Discuss Bob Brown s assignment. Determine how Elaine s additional info helps Bob with his assignment. Planning the Audit Plan an audit as an AIC. Identify the IPPF audit planning standards. Discuss the importance of audit planning. Identify the questions answered by the preliminary survey, what the preliminary survey should identify, and how to assess control effectiveness. Identify computer-based audit tools and how they are implemented and audit planning guidelines for information technology. Identify the responsibilities of auditors toward fraud prevention and detection, and control environment elements. List the general and application controls reviewed in an audit. Explain the importance of the planning memo.
4 Audit Programs and Staffing Develop an audit program and staffing plan. Determine whether audit objectives and resulting scope are properly defined. Indicate whether audit program steps are stated in a manner that is clear, provide guidance, and contribute to meeting the audit objectives. Assess staffing assignments. Audit Supervision Apply AIC project management skills, supervise staff, and control the audit process. Describe the methods AICs can use to maintain effective control over audits. Discuss strategies for resolving conflicts. Discuss how to avoid control problems. Determine the nature of supervisory or audit control problems. Describe the three steps to audit control. Reviewing Workpapers Review workpapers for completion of audit steps and proper format. Identify IPPF Standards relevant to reviewing workpapers. Describe the objectives for workpaper reviews. Audit Concerns and Reports Demonstrate quality control and review responsibilities for the AIC role. Describe the AIC s role in reviewing/evaluating audit concerns. Determine the best approach for managing client reactions to concerns. Identify IPPF guidance related to communication of audit concerns. Review records of audit concerns to determine whether they have been prepared properly. Develop a strategy for presenting audit concerns.
5 The Exit Conference Conduct an effective exit conference based on tips for success. Describe roles and responsibilities for the exit conference. Identify the functions of the exit conference. Describe elements for consideration during planning for an exit conference. Plan an exit conference. Evaluate the success of an exit conference. Wrapping Up the Audit Summarize necessary tasks to conclude an audit. Describe tasks involved in concluding an audit. Evaluate management responses to an audit. Appraising Staff Performance Conduct a performance appraisal. Discuss performance appraisal standards. Discuss factors influencing performance appraisals. Assess a performance appraisal. Plan a performance appraisal. Conduct a performance appraisal.
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