Strategic Internal Auditing

London Corporate Training
En London (Inglaterra)

£ 3,850 - ($ 103,903)
más IVA

Información importante

  • Short course
  • Intermediate
  • London (Inglaterra)
  • Duración:
    2 Weeks
  • Cuándo:
    otras fechas

To ensure their reports integrate risk for decision – making processes • To identify and assess financial crime risks within the control environment • To engage effectively with stakeholders and deliver assurance standards on the culture of the Organisation • To integrate effectively the consideration of risk into all business processes and decisions • To promote and enhance the function of the Organisation’s Chief Risk Officer.

Información importante
¿Esta formación es para mí?

Delegates who have solid experience within auditing and who are now looking to contribute to the strategic development of the audit function to both equip themselves with additional skill-sets and enhance the level of protection and transparency afforded to the organisation via the pro-active internal audit function


Dónde se imparte y en qué fechas

Inicio Ubicación
13 marzo 2017
12 junio 2017
11 septiembre 2017
04 diciembre 2017
3 Shortlands, Hammersmith, London, W6 8DA, London, Inglaterra
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¿Qué aprendes en este curso?

Internal Auditing
IT Auditing
IT risk
Financial Training
Financial Crime
Audit Structures
Audit Report Writing
Audit Structure
Business Cases
Financial Crime Risks
AML Controls
CTF Controls
Crime Risk

Programa académico

The Role and Function of Internal Audit 

  • Key goals of the internal audit function
  • Ensuring auditor objectivity
  • Avoidance of conflicts of interest within auditing
  • Auditor skillset 

Conducting Effective Audits 

  • Pre-audit planning
  • Effective audit sampling techniques
  • Recording findings during auditing
  • Effective stakeholder engagement
  • Audit Structures
  • The audit committee’s role
  • Developing the audit charter
  • The external auditor’s role
  • Developing and improving best practices 

Financial Crime Risks 

  • Money laundering, terrorist financing and sanctions risks
  • AML controls
  • CTF controls
  • Sanctions controls – matches
  • Trade-based money laundering risks
  • Customer due diligence controls
  • Enhanced customer due diligence controls
  • Consideration of money laundering risks in practice evidenced by the organisation 
  • Beneficial Ownership Transparency – individuals and entities 
  • Testing operational efficiency v. financial crime risk prevention in practice
  • Training and awareness programmes

Audit Report Writing 

  • Ensuring objective comments
  • Ensuring use of constructive language
  • Financial crime compliance terms and abbreviations for internal auditors
  • Improvement recommendations
  • Continuous improvement techniques

Risk – Based Auditing 

  • Identifying areas of risk
  • Identifying new areas of risk
  • Classification and quantification of risk areas
  • Identifying potential interface of existing and new areas of risk
  • Developing audit and re-audit frequency in alignment with risk
  • Overview of emerging and evolving threats 

Conducting Effective Audits 

  • The auditor’s role as a consultant
  • Utilising audit reporting to inform organisational policy development
  • Continuous improvement initiatives and supervision
  • Measuring improvement – toolkit for objective measurement and demonstration of audit output improvements 

Financial crime compliance  

  • Record keeping procedures
  • Controls to identify potentially suspicious activities
  • Trade finance transactions
  • Trade processing controls by processing staff
  • Red flagging procedures
  • Pre-determined thresholds systems and controls
  • Escalations
  • Actions taken by senior management
  • Evidence and awareness of senior management evidencing how crime risks evolve in organisational type of business 

Engaging with the Audit Structure 

  • Making effective recommendations and business cases
  • Presenting information effectively
  • OSCOLA (Oxford University Standard for the Citation of Legal Authorities) for
  • internal auditors
  • Contributing meaningfully to the development of the long-term audit strategy
  • Upgrading the profile of internal audit within the organisation