Internal Auditor 101: Internal Audit Principles and Techniques

This event qualifies for 8 CEUs

This event qualifies for 8 CPEs

This event qualifies for 8 CLPs

Internal audits are an important requirement for effective corporate governance. The internal auditor is at the front line in evaluating management's internal control, assessing the accuracy of financial information, and ensuring compliance with laws and regulations. Learn how to perform these important duties and comply with the professional auditing standards.

"Internal Audit 101" is the perfect CPE course to introduce internal auditing to someone new to the field or to someone who has not had formal training. This course provides an overview of the "audit life cycle", including audit planning and risk assessment, conducting fieldwork, interviews, walkthroughs and tests of controls, and audit reporting and follow-up. CCS provides the latest guidance for a risk-based, top-down audit approach, key audit terminology, audit workpaper documentation, and "selling" the benefits of the audit.

This event presents an overview of the professional standards (IIA, ISACA, AICPA), frameworks (COSO, COBIT), and soft-skill competencies an auditor needs to become competent. This seminar walks the participants through the basics of being an internal auditor. It is ideal for auditors who want to ensure that they follow approved, prescribed audit standards and apply the appropriate audit tools and techniques.

This timely, one-day CPE internal audit training course covers the basics of how to create an effective audit plan, perform the audits, generate workpapers, and effectively communicate the results.

Speaker and Presenter Information

David S. Marshall, MBA, CISA, CFE is a Principal with Infotech Global, a provider of audit, compliance, IT and training services from Chicago, IL area. With over 20 years of experience, he is an expert in internal control, the Sarbanes-Oxley Act and information technology. He has assisted numerous companies, from startups to multinationals, improve their operations by strengthening their internal control programs and complying with Sarbanes-Oxley, as well as providing IT auditing, computer security and fraud prevention training.

During his career, Dave has performed financial, operational and IT audits, security assessments, fraud investigations, financial and manufacturing system implementations, and regulatory compliance assistance. He headed up the IT Audit Consulting group at one of the largest aerospace and defense contractors in the United States, where he conducted enterprise risk assessments, audits, network penetrations, program effectiveness studies, business continuity reviews, fraud examinations, and financial data analysis using IDEA software. Prior to that, he was a senior manager in the management consulting practice PWC, where he performed similar services to Fortune 500 companies, banks and agencies. Dave helped to develop the firms Audit methodology, participated in writing the Institute of Internal Auditors’ System Auditability and Control Guidelines, and conducted quality assurance reviews of internal and external audit groups.

He has an MBA degree, and is a Certified Information Systems Auditors (CISA) and a Certified Fraud Examiner (CFE). He is a member and past board director of the Information Systems Audit and Control Association (ISACA), is a member of the Institute of Internal Auditors (IIA) and helped organize the IIA International Conference, and is the President of the Chicago Chapter of the Association of Certified Fraud Examiners (ACFE). Mr. Marshall and Mr. Blackshire have been presenting informative and entertaining seminars on internal control, corporate governance and Sarbanes-Oxley Act compliance since 2004.

Relevant Government Agencies

Air Force, Army, Navy & Marine Corps, Intelligence Agencies, DOD & Military, Office of the President (includes OMB), Dept of Agriculture, Dept of Commerce, Dept of Education, Dept of Energy, Dept of Health & Human Services, Dept of Homeland Security, Dept of Housing & Urban Development, Dept of the Interior, Dept of Justice, Dept of Labor, Dept of State, Dept of Transportation, Dept of Treasury, Dept of Veterans Affairs, EPA, GSA, USPS, SSA, NASA, Other Federal Agencies, Legislative Agencies (GAO, GPO, LOC, etc.), Judicial Branch Agencies, State Government, County Government, City Government, Municipal Government, CIA, FEMA, Census Bureau, Office of Personnel Management, Coast Guard, National Institutes of Health, FAA, USAID, State & Local Government, National Guard Association, EEOC, Federal Government, FDA, Foreign Governments/Agencies, NSA, FCC