Assessing Risk: Enterprise, Audit and How to Effectively Interview

Course Field: Auditing
Delivery Method: Live/Internet-Based
Prerequisite: None
Level: Basic, Intermediate
Advance Prepration:No
  • Seminar Overview

    An Eight Hour Course on Understanding the basics of risk and risk assessment and how to effectively interview and compile results.


    Assessing risk continues to be an important role in internal audit. How to assess risk, what risks to assess and how to effectively interview for risk are cornerstones for effective internal auditing. This course will take attendees through the assessment process and some new ideas on how to gather and utilize the information

  • Who Should Attend
    Auditors who would like to learn more about basic risk assessment skills and how to apply them to the internal audit process and gather relevant information. Specifically, internal audit seniors and managers should attend who would like to optimize the efficiency and effectiveness of their risk assessment process.
  • Learning Objectives
    • Learn the basics of risk assessment, including enterprise and audit-level risks
    • Understand the main differences between enterprise and audit risks
    • How to interview and gather information effectively
  • Agenda
    I. Introduction and Background
    II. ERM Overview
        a. What is ERM
        b. Why is it important?
        c. What are the key components?
    III. COSO ERM Model
         a. Executive Summary
         b. Changes to the COSO Framework
         c. Key Components of the COSO Framework
    IV. Audit Risk Assessment
         a. Building an Audit Universe
         b. How to Gather Data
         c. Utilizing Surveys Effectively
    V. Effective Interviews
        a.  Follow-Up
    VI. Summary and Wrap-Up

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