Internal Audit 201: Keys to being an effective Lead Auditor
Seminar Overview
As a follow-up to Auditor Bootcamp, Lead Auditor Bootcamp helps professionals advance with this one-day course on becoming an effective Lead Auditor. New audit team leaders must supervise and produce audit work and continually balance a busy schedule so that every project meets audit management expectations.
This seminar gives Audit Seniors training into how to review a file, manage a project and draft audit reports. Additionally, this course will cover the interpersonal skills to supervise the audit team and interactions with auditees. Auditors should not get promoted without taking this training seminar.
Seminar is designed for the internal auditor moving up to a team leadership position and others who lead small audit teams.
Learning Objectives
- Attendees will learn how to identify audit risk and audit planning tools and techniques
- Attendees will learn how to evaluate existing audit documentation
- Attendees will discover the best techniques for team management
- Attendees will discuss interpersonal and team-building skills
- Attendees will understand the audit report creation process
Who Should Attend
Financial, Operational, and Information Technology Auditors in the process of advancing to Lead/Senior.
Agenda
I. Introduction and Background
a. What are the Roles and Responsibilities of an Audit Senior
b. The Evolution of Staff to Senior
II. The Risk Assessment Process
a. Audit Senior Role
b. Audit Preliminary Work
c. Audit Preliminary Risk Assessment
III. Audit Interviews
a. Interview Techniques
b. Documenting an Interview
IV. Managing an Audit Engagement
a. Appropriate Audit Planning
b. Developing an Audit Work Program
c. Managing a Budget and Schedule
d. Delineation of Duties
e. Reviewing an Audit File
V. Managing an Audit Team
a. Personality Types/Styles
b. Managing Minimal Age Differences
c. Deadline Management
VI. Internal Audit Wrap-Up
a. Audit Reporting
b. Effective Exit Conferences
c. Audit Follow-Up
VII. Managing Up
a. Managing Expectations
b. To Commit or Not to Commit
c. Communication
VIII. Interpersonal Skills
IX. Managing the Auditee
X. Creating/Reviewing Audit Findings and Reports