Internal Audit 201: Keys to being an Effective Audit Senior

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

    As a follow-up to Audit 101, Audit 201 helps professionals advance with this one day course on becoming an effective Audit Senior.  New audit team leaders must supervise and produce audit work and continually balance a hectic schedule so that every project meets audit management expectations.


    This training seminar gives Audit Seniors insight into how to review a file, manage a project and drafting audit reports.  Additionally, this course will cover the interpersonal skills to supervise the audit team and interactions with auditees, even audit management.  Auditors should not get promoted without taking this training seminar.
    This timely, one-day training seminar is designed for the internal auditor moving up to a team leadership position and others who have to create lead small audit teams.

  • Learning Objectives
    • Attendees will learn how to identify audit risk and appropriate 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 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 Workprogram

    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

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