Posts tagged with "internal audit"

Next Generation Audit (Level Three) – Audit Program Measurement and Management (2-Part Webinar Series)

Register – All 3 Levels Register – Level Three Only

Audit ProgramBankersHub is launching a new series of courses in 2019 to help smaller financial institutions develop, manage and measure the effectiveness and compliance associated with their internal audit programs.  This audit training and refresher series, entitled “Next Generation Audit for Financial Institutions” is broken into 3 Levels, each comprised of 2 courses:

Level One: Improving Your Current Program

Level Two: Risk Management for Auditors

Level Three: Audit Program Measurement and Management

This Financial Institution Audit Program is designed for both seasoned and new auditors, as well as for others whose jobs require an in-depth understanding of internal audit best practices. Attendees have the option to register for individual webinars, packaged Levels or all six events for maximum savings.

Who Should Attend?

  • Internal Auditors and Examiners
  • Risk Managers
  • Compliance Officers
  • Senior Management and Directors
  • Financial Officers and Accountants
  • Legal Staff

Part 1 – Using Data Analytics for Improving Your Internal Audit

Wednesday, April 10, 2019

  • 12:00 – 1:00 pm ET
  • 11:00 – 12:00 pm CT
  • 10:00 – 11:00 am MT
  • 9:00 – 10:00 am PT

Data is important and for internal auditors is a significant indicator of risks. The most difficult piece of having data is knowing how to use it to achieve a well- defined purpose or objective in your internal audit program. How have internal auditors moved to using data analytics to improve their audit and to help financial institutions understand their overall risks and key risk indicators.

  • How data analytic tools are used
  • Defines opportunities to utilize data analytics in the internal audit work
  • Real life examples of getting started with data analytics

Listen to the instructor go through how to effectively and efficiently define the risks throughout all business lines throughout your financial institution.

Topics Covered:

  • Look at how one department identified 5 major risk categories that most risks statements will fall into
  • Helping to identify the “consequence” if the risk is not mitigated.
  • Identify the difference between an absence of a control and a risk.

Part 2 – Building Key Performance Indicator (KPI) Dashboards for Audit Committee

Wednesday, April 10, 2019

  • 2:00 – 3:00 pm ET
  • 1:00 – 2:00 pm CT
  • 12:00 – 1:00 pm MT
  • 11:00 – 12:00 pm PT

Key performance indicators are an important factor in knowing the effectiveness of your internal audit program. This session focuses on using key performance indicators for Board of Directors to have better visibility into the effectiveness of the internal audit program.

Topics Covered:

  • IIA Standards give general guidance on what to report to the Audit Committee
  • With the limited time Committee members have, how do you get your performance across in a concise yet accurate format?
  • What should be reported?
  • What do Committee members need to know beyond the Standards requirements?

Pricing

$895 for ALL 3 LEVELS in the Series (6 Courses Total
with Playbacks*

$395 for BOTH Level Three parts plus unlimited playbacks*
$249 for individual session plus unlimited playback*
Register for Part 1 ONLY, with playback*
Register for Part 2 ONLY, with playback*

*Playbacks always accompany your registration and may be shared internally with others. Playbacks do not expire.

Credits per Session

  • 1.2 AAP Credits
  • 1.0 CPE Credits

Your Speaker(s)

Bradley Carroll CPA CFF CIA CFSA CRMA
Financial Services Advisory Board Member
IIA-The Institute of Internal Auditors

About the Speaker

Bradley Carroll is a successful business leader with strong background in US GAAP, the International Professional Practices Framework for internal audit, SOX control testing, risk management, internal control evaluation and design, compliance, management, fraud investigation, banking, small business consulting, and general accounting and income tax services. Bradley was a member of select group of internal audit leaders invited in 2017 by the IIA to advocate on Capitol Hill for IIA initiatives.

Featured seminar speaker on topics such as Quality Assurance and Improvement Program, Fraud, Co-Sourcing and Out-Sourcing Internal Audit, Integrating Audit Methodology into Audit Management Software. Speaker at the IIA’s Financial Services Exchange and the IIA’s All Star Conference. Invited to speak at the IIA’s 2019 International Conference.

Register – All 3 Levels Register – Level Three Only Pay by Check

Next Generation Audit (Level Two) – Risk Management for Auditors (2-Part Webinar Series)

Register – All 3 Levels Register – Level Two Only

Audit ProgramBankersHub is launching a new series of courses in 2019 to help smaller financial institutions develop, manage and measure the effectiveness and compliance associated with their internal audit programs.  This audit training and refresher series, entitled “Next Generation Audit for Financial Institutions” is broken into 3 Levels, each comprised of 2 courses:

Level One: Improving Your Current Program

Level Two: Risk Management for Auditors

Level Three: Audit Program Measurement and Management

This Financial Institution Audit Program is designed for both seasoned and new auditors, as well as for others whose jobs require an in-depth understanding of internal audit best practices. Attendees have the option to register for individual webinars, packaged Levels or all six events for maximum savings.

Who Should Attend?

  • Internal Auditors and Examiners
  • Risk Managers
  • Compliance Officers
  • Senior Management and Directors
  • Financial Officers and Accountants
  • Legal Staff

Part 1 – Best Business Practices for Defining Risk in Auditing Banks

Friday, March 15, 2019

  • 12:00 – 1:00 pm ET
  • 11:00 – 12:00 pm CT
  • 10:00 – 11:00 am MT
  • 9:00 – 10:00 am PT

Since 2009, regulatory fees have dramatically increased and regulatory consent orders are on the rise. This audit training will focus on best business practices for defining risks in your financial institution.

  • What are the real risks in financial institutions?
  • What is the consequence of not identifying risks?
  • What is a control and what is a risk?

Listen to the instructor go through how to effectively and efficiently define the risks throughout all business lines throughout your financial institution.

Topics Covered:

  • Look at how one department identified 5 major risk categories that most risks statements will fall into
  • Helping to identify the “consequence” if the risk is not mitigated.
  • Identify the difference between an absence of a control and a risk.

Part 2 – Fraud and Ethics: Internal Audit Case Studies

Friday, March 15, 2019

  • 2:00 – 3:00 pm ET
  • 1:00 – 2:00 pm CT
  • 12:00 – 1:00 pm MT
  • 11:00 – 12:00 pm PT

This session will focus on the fraud theory and triangle. What is the fraud triangle and how should that apply to your internal audit focus? This session will also cover real life fraud examples from on auditor’s career and how ethics played a role in the fraud.

Understand the concept of compliance and its relationship to a healthy ethical culture and legal and regulatory reasons for how you should maintain an effective compliance and ethics program. Also, this webinar will detail how to outline the board’s and management’s responsibilities for the organization’s compliance and ethics program.

Topics Covered:

  • Defining the Fraud Triangle and Fraud Theory
  • Case studies for identifying fraud
  • Understanding how ethics fit into fraud
  • Identification of Senior Management and Board of Director’s responsibilities

Pricing

$895 for ALL 3 LEVELS in the Series (6 Courses Total
with Playbacks*

$395 for BOTH Level Two parts plus unlimited playbacks*
$249 for individual session plus unlimited playback*
Register for Part 1 ONLY, with playback*
Register for Part 2 ONLY, with playback*

*Playbacks always accompany your registration and may be shared internally with others. Playbacks do not expire.

Credits per Session

  • 1.2 AAP Credits
  • 1.0 CPE Credits

Your Speaker(s)

Bradley Carroll CPA CFF CIA CFSA CRMA
Financial Services Advisory Board Member
IIA-The Institute of Internal Auditors

About the Speaker

Bradley Carroll is a successful business leader with strong background in US GAAP, the International Professional Practices Framework for internal audit, SOX control testing, risk management, internal control evaluation and design, compliance, management, fraud investigation, banking, small business consulting, and general accounting and income tax services. Bradley was a member of select group of internal audit leaders invited in 2017 by the IIA to advocate on Capitol Hill for IIA initiatives.

Featured seminar speaker on topics such as Quality Assurance and Improvement Program, Fraud, Co-Sourcing and Out-Sourcing Internal Audit, Integrating Audit Methodology into Audit Management Software. Speaker at the IIA’s Financial Services Exchange and the IIA’s All Star Conference. Invited to speak at the IIA’s 2019 International Conference.

Register – All 3 Levels Register – Level Two Only Pay by Check

Next Generation Audit (Level One) – Improving Your Current Program (2-Part Webinar Series)

Register – All 3 Levels Register – Level One Only

Audit ProgramBankersHub is pleased to launch a new series of courses in 2019 to help smaller financial institutions develop, manage and measure the effectiveness and compliance associated with their internal audit programs.  This audit training and refresher series, entitled “Next Generation Audit for Financial Institutions” is broken into 3 Levels, each comprised of 2 courses:

Level One: Improving Your Current Program

Level Two: Risk Management for Auditors

Level Three: Audit Program Measurement and Management

This Financial Institution Audit Program is designed for both seasoned and new auditors, as well as for others whose jobs require an in-depth understanding of internal audit best practices. Attendees have the option to register for individual webinars, packaged Levels or all six events for maximum savings.

Who Should Attend?

  • Internal Auditors and Examiners
  • Risk Managers
  • Compliance Officers
  • Senior Management and Directors
  • Financial Officers and Accountants
  • Legal Staff

Part 1 – Internal Audit Quality Assurance and Improvements

Friday, March 8, 2019

  • 12:00 – 1:00 pm ET
  • 11:00 – 12:00 pm CT
  • 10:00 – 11:00 am MT
  • 9:00 – 10:00 am PT

This first audit webinar will walk through the results of a real-life external quality assessment and the follow up remediation to gain general conformance with the Auditing Standards.

Attendees will also learn the most common non-conformance issues with IIA Standards noted in external quality assessments and receive sample templates of the internal Quality Assurance and Improvement Program.

Topics Covered:

  • Defining Quality Assurance and Improvement?
  • Non-conforming issues?
  • Quality Assessments

Part 2 – Co-Sourcing vs Outsourcing Internal Audit Arrangements

Friday, March 8, 2019

  • 2:00 – 3:00 pm ET
  • 1:00 – 2:00 pm CT
  • 12:00 – 1:00 pm MT
  • 11:00 – 12:00 pm PT

Even in larger financial institutions, there may be gaps in expertise and resource. This second audit webinar installment will focus on the distinction between co-sourcing and outsourcing. Financial institutions embrace the concept of supplementing resources in different ways, including co-sourcing that serves as more of a partnership between internal audit staff and externally hired professionals to assist in the internal audit program.

Topics Covered:

  • Difference between co-source and outsource and the benefits of both?
  • Why do internal audit departments co-source or outsource?
  • How does the program work?

Pricing

$895 for ALL 3 LEVELS in the Series (6 Courses Total
with Playbacks*

$395 for BOTH Level One parts plus unlimited playbacks*
$249 for individual session plus unlimited playback*
Register for Part 1 ONLY, with playback*
Register for Part 2 ONLY, with playback*

*Playbacks always accompany your registration and may be shared internally with others. Playbacks do not expire.

Credits per Session

  • 1.2 AAP Credits
  • 1.0 CPE Credits

Your Speaker(s)

Bradley Carroll CPA CFF CIA CFSA CRMA
Financial Services Advisory Board Member
IIA-The Institute of Internal Auditors

About the Speaker

Bradley Carroll is a successful business leader with strong background in US GAAP, the International Professional Practices Framework for internal audit, SOX control testing, risk management, internal control evaluation and design, compliance, management, fraud investigation, banking, small business consulting, and general accounting and income tax services. Bradley was a member of select group of internal audit leaders invited in 2017 by the IIA to advocate on Capitol Hill for IIA initiatives.

Featured seminar speaker on topics such as Quality Assurance and Improvement Program, Fraud, Co-Sourcing and Out-Sourcing Internal Audit, Integrating Audit Methodology into Audit Management Software. Speaker at the IIA’s Financial Services Exchange and the IIA’s All Star Conference. Invited to speak at the IIA’s 2019 International Conference.

Register – All 3 Levels Register – Level One Only Pay by Check