APT Audit Process – How Agile is Your Audit Process? Risk Based Auditing 2020: 2-Day In-Person Seminar

By: Daniel Clark, CRCMP, CISRCP, SVP General Auditor at Washington Trust Bank
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Course Description:

Increasing demands on the audit profession by regulators, industry watchdogs and the IIA itself begs for new approaches and enhanced risk perspectives. BASEL requirements and COSO directives support even more risk based auditing activity while senior management expects auditors to not only understand risk and controls but to actively contribute in that same space as other risk experts.

This course will introduce participants to the first agile risk based audit approach available. Agility plus 10.1 (APT) is designed to ensure that while adhering to the standards of the Institute of Internal Auditors, audit teams can be flexible and risk focused. The days of traditional audit practices are behind us and those firms that do not learn to be more adept in audits risk becoming irrelevant. This course will help auditors and audit teams remain relevant to their organizations.

The key topics that will be covered in this two-day workshop include:

  • Audit universe design
  • The three tiered risk assessment methodology
  • Retro cycling and how to ensure three year audit coverage of all audit areas
  • Taking advantage of data analytics beyond sample selection
  • Risk based reporting for audit committees and senior management
  • Using risk perspectives to create a meaningful audit issue
  • Leveraging the consulting aspects of audit to remain relevant
  • Tips for educating the client on your new audit approach

The seminar has been structured with several beneficial components, such as:

  • Tools that help establish a risk based audit process without the need for new software or dramatic changes to existing audit practices.
  • Practical application of risk based auditing techniques impacting auditable entity design; tiered risk assessments, comprehensive continuous risk monitoring and examples of annual risk based reporting processes.
  • Demonstration of how risk based auditing practices actually helps develop auditors for leadership positions in audit or the line.
  • Mini workshops that demonstrate how to implement, sell and gain immediate value in risk based auditing.

Learning Objectives:

  • Learn how to complete a risk assessment on businesses you may know nothing about.
  • Learn about the tiered risk assessment methodology that finally links risks of parent companies to subsidiaries and vice versa.
  • Learn about retro cycling so you can ensure long term audit coverage and still be flexible enough to react to emerging risks.
  • Explore new techniques in writing audit findings and audit reports that will focus on root causes and generate actionable issues for management to respond to with solutions that actually resolve the issue.
  • Learn how the APT audit process develops auditors faster than normal audit processes and how to leverage your new found leadership skills within your audit group and business.

Who Will Benefit:

  • Internal and external auditors
  • Actuaries
  • Management team
  • Business control units
  • End-users responsible for applications that need to be audited
  • Chief risk officers and risk management consultants,
  • QA managers and personnel
  • Information technology managers and personnel
  • Validation specialists
  • Bank regulators and examiners
  • Treasurers
  • Small business owners
  • Software engineers and developers
  • Operational managers
  • Board members especially risk and audit committee chairs and members
  • Heads of market, credit, and operational risk

Course Outline

Day One (8:30 AM – 4:30 PM)
Registration Process: 8:30 AM – 9:00 AM
Session Start Time: 9:00 AM
  • Wall Ball Incorporated – (Case Study)
    • Complete risk assessment of unknown company
    • Learn techniques to determine risks and link to risk families
  • Creating the Audit Universe
    • Developing and designing auditable entities
    • The value of alignment with management structure
    • The depths of process –creating the audit process glossary
  • Introducing the 3 Tiered Risk Assessment
    • The risk profile
    • The risk assessment
    • The risk matrix
    • The linkage
  • Retro Cycles
    • How they work and why they are the best model for tracking audit coverage
  • Continuous Risk Monitoring (Case Study)
    • Developing the plan
    • Driving successful interaction
  • Organizing the Team
Day Two (8:30 AM – 4:30 PM)
  • Constructing the Argument – Case Study
    • What to do with the results of the audit
    • Designing the story – communicating the theme not just the issue
    • Fool proof preparations for successful audit communications
  • Communicating Results
    • Thinking it through
    • Putting it in writing
  • Writing in a Risk Based Audit Environment (Workshop)
    • Findings
    • Issues
    • The report
  • Audit Committee Reporting Techniques
  • Educating the Client
    • Tips on how to sell your new process to your clients, your audit team, and other stakeholders.

Meet Your Instructor

Daniel Clark-90X112
Daniel Clark,
CRCMP, CISRCP, SVP General Auditor at Washington Trust Bank

Daniel Clark has over 25 years of experience in risk management and auditing having served in many senior auditing/risk roles culminating as chief auditor for midsize and large regional and global financial organizations. Mr. Clark has in-depth knowledge on how to integrate diverse processes into a seamless risk based audit approach that keeps audit on the cutting edge of development and value impact. His insights into the audit and risk world translate into meaningful guidance through a communication style that is fun, animated, and very participative. Mr. Clark has trained auditors and other business leaders for over five years.

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