Building a Risk Based Internal Audit Plan: What Matters to the Organization: 2-Day In-person Seminar

By: Norman Marks, Evangelist for Better Run Business and Mentor in Internal Auditing, Risk Management and Corporate Governance
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“Building a Risk Based Internal Audit Plan: What Matters to the Organization” – This course is approved by NASBA (National Association of State Boards of Accountancy). Seminar attendees are eligible for 20 CPE credits upon completion of training.

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Course Description:

While IIA Standards and other guidance, from internal audit thought leaders and the consulting firms, advocate a “risk-based” approach to internal auditing, they generally don’t provide a great deal of guidance on what that means and how to accomplish it. If internal audit is to be “relevant” (a term increasingly being used to question whether internal audit is delivering what the organization needs most), it is important to ensure that the engagements it will perform focus on the risks that matter to the organization today.

This course will provide individuals with tools and techniques to implement a modern risk-based internal audit plan and ensure that internal audit is considered relevant and valuable to its stakeholders on the board and in top management.

Participants will leave the course with confidence that they can build a risk-based audit plan that is agile and designed to address the risks that matter to the organization. This will help them ensure that internal audit engagements address the areas where the function can contribute the greatest value to the organization.

Norman Marks is an individual who has not only led world-class internal audit departments that practiced risk-based internal auditing, but has been a passionate advocate of such practices for many years – including writing about it on his blog with the IIA. He brings to the topic a deep understanding of both internal auditing and risk management (he is an Honorary Fellow of the Institute of Risk Management).

Who will Benefit:

This course is designed for all those who are responsible for developing, or assisting in developing, the internal audit plan. The following job titles/ positions will benefit from attending:

  • Chief Audit Executives
  • Internal Audit Directors and Managers
  • Bank Regulators and Examiners
  • Internal Audit Consultants

Topic Background:

A traditional audit plan is developed at a point in time, but risks change constantly in this dynamic world. A true risk-based audit plan needs to be similarly dynamic and modified as risks change. In addition, traditional audit plans have focused on risks at the location or process level, which may not be the same as the risks that matter to the organization as a whole – the risks that the board and executive management team worry about.

CPE-GRC We are registered with and adhere to the Statement on Standards for Continuing Professional Education programs of the National Registry of CPE Sponsors. Our registration number is 109066. Please check with the governing body of your license and state for specific CPE requirements. Grievances may be forwarded to the company at Ph: 650 620 3961; email: Grievances may also be forwarded to the National Registry of CPE Sponsors-NASBA, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417, 615-880-4200,, e-mail

Course Outline

Day One (8:30 AM – 4:30 PM)
Registration Process: 8:30 AM – 9:00 AM
Session Start Time: 9:00 AM
  • What does “risk-based mean”
  • How do audit departments build their audit plans today?
  • What is internal auditing about? Is it about performing audits?
  • Understanding “assurance”
  • How internal audit is evolving to meet new challenges
  • The move from audit universe to risk universe
  • How to define audit engagements to address the risks that matter
  • When to perform assurance and when to perform consulting engagements
Day Two (8:30 AM – 4:30 PM)
  • The challenge of reporting when there are multiple audits
  • Do you only perform audits where you have experience?
  • Balancing the budget
  • Management requests
  • Other audit engagements, including fraud investigations
  • Assurance at the speed of the business
  • Risk monitoring
  • Agile, dynamic audit planning
  • Using the organization’s ERM program
  • Building and maintaining the audit plan
  • Annual or rolling audit plans
  • Review
  • Discussion

Meet Your Instructor

Norman Marks
Evangelist for Better Run Business and Mentor in Internal Auditing, Risk Management and Corporate Governance

Norman Marks CPA, CRMA has been Chief Audit Executive of major global corporations for over 20 years, and is one of the most highly regarded thought leaders in the global profession of internal auditing. He has been profiled as an innovative and successful internal auditing leader, and is a Fellow of the Open Compliance and Ethics Group and an Honorary Fellow of the Institute of Risk Management. Norman has been a motivational keynote speaker at conferences around the world. In addition, he is a prolific blogger about internal audit, risk management, governance, and compliance.

Norman has written multiple award-winning articles for the Internal Auditor magazine and is the author of the IIA’s best-selling Management’s Guide to Sarbanes-Oxley Section 404: Maximize Value Within Your Organization.


Courtyard Los Angeles LAX/El Segundo
2000 East Mariposa Avenue,
El Segundo, California 90245 USA

August 21-22, 2014

How to Reach

General Driving Directions:

Driving Directions from Los Angeles International Airport – LAX: 1.5 mile(s) S
  • Take Sepulveda Boulevard south approximately one mile to Mariposa Ave.
  • Make a left onto Mariposa. The hotel is located one block on the right at the corner of Mariposa and Continental

Courtyard Los Angeles LAX/ El Segundo offers complimentary shuttle service to and from LAX until 11pm. Advance reservations are required. Call (310) 322-0700 for details.

Driving Directions from Long Beach Airport – LGB: 15 mile(s) S
  • Exit airport and follow Lakewood Blvd. south to the San Diego Freeway (405 Freeway).
  • Take the freeway northbound and exit El Segundo Blvd. (approximately 15 miles).
  • At end of ramp, make a left (going westbound on El Segundo Blvd.)
  • At Continental Blvd. make a right. Courtyard is two blocks on the right at the corner of Continental and Mariposa Ave

Driving Directions from John Wayne Airport-Orange County – SNA: 35 mile(s) N
  • Exit airport on McCarthur Blvd. and follow signs for 405 north. (San Diego Freeway)
  • Take the freeway northbound for approximately 35 miles, and exit El Segundo Blvd.
  • At end of the ramp, make a left going westbound on El Segundo Blvd.
  • Make a right at Continental Blvd. Courtyard is two blocks on the right at the corner of Continental and Mariposa Ave

Other Transportation:

Subway Station
  • Mariposa Station on the Green Line: 0.1 mile(s) E

Train Station
  • Union Station: 15 mile(s) NE
Disclaimer: Directions to the venue above have been taken from the hotel website. Attendees are advised to check with the hotel for confirmation of these directions before starting for the venue. GRC Seminars is not responsible for any inaccuracies in the same.
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