Course Outline
Auditing, Assessment, and Organizational Governance
- Distinguishing between audit, assessment, review, and inspection
- The role of internal audit in governance and assurance
IIA International Standards and Code of Ethics
- The structure of the IPPF and its mandatory elements
- Maintaining independence, objectivity, and ethical conduct
Risk-Based Audit Planning and Scoping
- Mapping assurance needs and defining the audit universe
- Setting engagement objectives, criteria, and scope
Audit Programmes, Evidence, and Working Papers
- Managing audit programmes per ISO 19011
- Ensuring evidence sufficiency, reliability, and proper documentation
Auditing ISO 9001 Quality Management Systems
- Applying the process approach and risk-based thinking
- Grading nonconformities and evaluating process performance
Auditing ISO 27001 Information Security Management Systems
- Reviewing Annex A control areas and risk treatment
- Gathering information security evidence and applying sampling techniques
Data Acquisition and Preparation for Audit Analytics
- Understanding source systems, data extracts, and data dictionaries
- Performing data cleaning, validation, and completeness checks
Analytical Procedures, Sampling, and Full-Population Testing
- Conducting trend, ratio, and reasonableness analysis
- Comparing sampling methods with full-population testing
AI and Automation in the Audit Lifecycle
- Utilizing automated audit software and workflow tools
- Leveraging Generative AI for evidence review and report drafting
Anomaly Detection and Fraud Indicator Testing
- Implementing rule-based and statistical outlier detection
- Applying Benford's law analysis
- Testing for duplicates, gaps, and exceptions
Forensic Auditing Fundamentals
- Identifying fraud types and red flag indicators
- Defining investigation scope and maintaining the chain of evidence
Digital Forensics Tools and Evidence Handling
- Creating evidence images and verifying hashes
- Analyzing timelines and email metadata
Cybersecurity Risk and IT General Controls
- Evaluating access, change, and operations controls
- Assessing the cyber threat landscape for audit planning
Cloud Infrastructure and Data Protection Assessment
- Reviewing shared responsibility models and cloud configurations
- Checking compliance with data protection and privacy regulations
COSO Enterprise Risk Management
- Understanding the five components and ERM principles
- Defining risk appetite, tolerance, and portfolio perspectives
ISO 31000 Risk Management in Practice
- Applying risk management processes and principles
- Maintaining risk registers, key risk indicators, and treatment plans
Compliance Programmes and AML Prevention
- Testing compliance frameworks and controls
- Analyzing AML typologies, screening, and transaction monitoring
Integrated Audit Simulation and Reporting
- Executing an end-to-end audit of a simulated business cycle
- Documenting findings, root causes, reporting, and follow-up actions
Requirements
- Professional experience in administration, finance, compliance, or auditing.
- Familiarity with spreadsheet software for basic data management.
- No prior programming or statistics expertise is required.
Target Audience
- Reviewers and supervisors accountable for audit and assessment quality.
- Internal auditors and compliance professionals transitioning to data-driven testing methods.
- Staff in finance, administration, and operations who participate in or oversee audit activities.
Testimonials (2)
The trainer was helpful..
Attila - Lifial
Course - Compliance and the Management of Compliance Risk
Speed of response and communication
