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"Internal Audit, Fraud Risk Assessment and Risk Management Annual Plan" - This course is approved by NASBA (National Association of State Boards of Accountancy). Seminar attendees are eligible for 16.8 CPE credits upon completion of this workshop.

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 650 620 3961. 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, www.learningmarket.org, e-mail cpe@nasba.org.

Performing a corporate wide Risk Assessment can seem like a daunting task for an organization. In reality, it can be done using a template and brainstorming with internal auditors, certified fraud examiners and business unit leaders throughout your organization. Understanding your Company's Risk Environment is key to having an effective Internal Audit organization, it helps to have significant experience in internal auditing and a mind for coming up with "what could go wrong" in any control environment. The corporate wide risk assessment can be performed to maximize the efficiency and effectiveness of any organization with a diligent template and process for performing the assessment. This seminar will equip you with a methodology that has been utilized in a robust internal audit department for a Billion dollar revenue Corporation.

Learning Objectives:

  • The methodology for a successful Corporate Wide Risk Assessment Process from the perspective of an Internal Audit Department
  • Different types of Risk Assessment and processes and procedures to performing it effectively - For example a Fraud Risk Assessment, an Operational Risk Assessment and a Sarbanes Oxley Risk and Control Matrix.
  • Examples of different templates.
  • Who the key players are in these processes.
  • How to brainstorm different Audit topics within your department and company.
  • Real live experiential examples and a group Case Study that we'll perform in groups in class.
Seminar Fee Includes:
Lunch
AM-PM Tea/Coffee
Seminar Material
USB with seminar presentation
Hard copy of presentation
Attendance Certificate
$100 Gift Cert for next seminar

Course Information:

Participants are requested to bring a laptop with Minitab Version 17 software installed.

Areas Covered:

  • The key components of a Risk Assessment and Management Program.
  • The template for a risk assessment and examples of typical projects that may come up in various departments. We will spend a significant amount of time going through examples in different areas of how the template works.
  • Brainstorming your industry and the unique types of projects that can be worthwhile projects.
  • The methodology for successful Risk Assessment process.
  • The steps involved in the Risk Assessment process, including an extensive explanation of different templates to be utilized.
  • Perform a mock Risk Assessment in a team environment.
  • How to perform a fraud risk assessment.
  • Perform a mock fraud risk assessment in a team environment.
  • Continual refinement of audit projects throughout the Audit Year.

Who will Benefit:

All professionals who want to expand their knowledge in the Risk Assessment Process for Internal Audit Groups, Operational Processes and Sarbanes Oxley Risk Matrices, including CPAs (partners, managers and staff) responsible for evaluating these areas for their clients. Additionally:

  • Internal Audit personnel involved in performing the annual Risk Assessment
  • Internal Audit Management interested in performing a risk assessment
  • Professionals responsible for performing risk assessment duties
  • Risk/Compliance Officer any industry

Topic background:

With an increased awareness of the effectiveness of Internal Audit organizations and the ongoing cost to organizations, an entity wide risk assessment is imperative to all organizations to maximize the efficiency and effectiveness of an Audit Organization. Performing a corporate wide risk assessment is doable, and can provide internal audit and its organization a roadmap for the upcoming audit year and also provide peace of mind for having gone through the process and addressed the organizations top risks. The methodology has been utilized successfully in billion dollar industries, it is completed on an annual basis using templates that provide the mechanism for documenting the results of numerous meetings with Company Executives and all levels of Management conducted during the risk assessment process.

Field of Study:

  • Auditing: 16.5 CPE Credits
  • Total CPE credits earned in this workshop: 16.5 CPE Credits

Program Delivery Method: Group-Live
Program Level: Intermediate
Advance Preparation/Program Prerequisites: None

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Day 01(8:30 AM - 4:30 PM)
  • 8:30 – 9:00 AM: Registration
  • 9:00 AM: Session Start Time
    • Introduction and Objectives of the Course
      • What are everyone’s expectations of the next two days
      • Agenda of the Course
    • Risk and Control Matrices
      • Uses for the Risk Assessment Process
      • Why it is so important to Organizations
    • Main Outline of the Corporate Wide Risk Assessment Process from Internal Audit Perspective
    • Timeline of the Process
      • Template for a Corporate Wide Risk Assessment
      • Examples of typical Projects that may come up and how to fill the template out
    • Group Activity to Practice How to Come up with Risks and Controls within a Process
    • In Depth Discussion on Template to use for Corporate Wide Risk Assessment
    • How to Brainstorm different Projects within your organizations
      • Group Discussion on How to Brainstorm different projects within your organization
      • Who to include in these discussions
      • How to initiate this process, what to focus on
Day 02(8:30 AM - 4:30 PM)

    • The Methodology For a Successful Risk Assessment
      • Who to involve, Roles and Responsibilities
      • Templates involved in a Successful process
    • Review of Previous Days Discussions Relevant to the Case Study.
    • Comprehensive Case Study.
      • Examples and Comprehensive Case Study.
    • Fraud Risk Assessment (2 hrs.)
      • ACFE Data on Fraud and How it can be utilized in the Process.
      • The Template, the Different Columns and How to Fill Out.
      • Examples and Discussion of How to brainstorm projects.
    • Comprehensive Case Study.
      • Examples and Comprehensive Case Study
    • How to Refine the Risk Assessment and Ultimate Audit Plan throughout the year.
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Marna Steuart

Marna Steuart, CFE, CIDA, CPA
Controller

Marna Steuart CIDA, CFE, CPA has been in the audit industry for over twenty years. Ms. Steuart began her career with a Big Four firm as an external auditor, then as an internal auditor in several different capacities within several different industries both on her own and as a Manager of Internal Audit Services at PriceWaterhouseCoopers. Ms. Steuart obtained her Certified Fraud Examiner license in 2007 and was the main fraud investigator for five years at a large utility company. She was responsible for performing and updating the fraud risk assessment on an annual basis and conducting over fifty internal fraud investigations during her time at this organization. Ms. Steuart has leveraged her employment within the Energy industry by working in the public sector as a Rate/Financial Analyst at the Colorado Public Utilities Commission (CPUC) and most recently took a Controller Position for a progressive Non-profit Company that provides Low Income Energy Assistance to this sector of the Community in Colorado. Marna is a native of Colorado and naturally loves the outdoors in both the winter, volunteering as a Nordic instructor for the National Sports Center for the Disabled (NSCD) and in the summer by climbing fourteeners and camping and fishing in what she refers to as "my awesome mountainous backyard called Colorado".

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