IIA award in compliance audit and assurance

Event Date: Thursday 16 February 2012 to Friday 17 February 2012

Location: London

Venue: TBA - London (Click here for details)

Event Details

The purpose of this course is to assist new entrants to the compliance team who wish to have a better understanding of how compliance auditing works and what is expected of them.

Who should attend?

• new entrants to the compliance team 
• specialists who join or are seconded to compliance audit who need to get up to speed quickly with the basics of compliance audit
• the course is suitable for those who undertake compliance audits in their own organisations as well as those who work within a regulatory / governmental environment who undertake such audits in third party organisations.

How will this course benefit you?
Upon completion you will be able to:

 • understand the role of the compliance auditor, the governance framework in which they operate and the types of audit they can be involved in
 • apply appropriate audit techniques to the development of the compliance audit plan and the methodology used to plan the audit engagement
 • understand and apply relevant techniques to ensure an effective audit test programme and appropriate sample sizes and evidence
 • evaluate evidence and determine a reasonable level of assurance
 • manage the relationship with key stakeholders.

Course programme
During this interactive course the following topics will be covered:

 • introduction to the course, participants expectations and the mini-action plan
 • purpose of compliance auditing and the difference between compliance audit and internal audit
 • governance and the compliance function including cultural, risk, reporting, monitoring and evaluation issues
 • stakeholders of the compliance function and how to manage the relationships
 • types of compliance audit and the responsibilities of a compliance team
 • developing the annual compliance plan using a variety of approaches including a risk based approach
 • planning a compliance audit using formal and less formal approaches including unannounced visits
 • testing including developing the test programme, writing audit tests, selecting a sample and using compliance and substantive tests
 • types of evidence including primary and secondary and how to evaluate audit evidence
 • prioritising audit findings according to their risk exposure and working out the overall assurance opinion
 • appreciate the means by which assurance is provided including its communication in the assurance statement
 • reflections on the mini-action plan.

Pre-course work
Before the course, you are asked to familiarise yourself issues discussed in the complementary study text.

Presented by
IIA specialist trainers.

Duration
Two days

This is one of the courses that make up the IIA Certificate in Internal Audit and Business Risk.

Full Certificate Programme £3465 + VAT plus IIA student membership. This includes attendance at your four chosen courses and assessment fees.
 

Event Pricing
Member Price: £920 + VAT = £ 1,104
Non-member Price: £1,020 + VAT = £1,224

Other course dates

18 - 19 October 2012 London More info/ register

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14 - 15 June 2012 York More info/ register