Risk-based Internal Audit

- Χρηματοοικ. Ασφαλιστικά Τραπεζικά - Λογιστικά/ Έλεγχος/ Φορολογικά

07 Δεκ 2022 09:00 08 Δεκ 2022 12:45
Αγγλικά
7 ώρες ( 1 ημέρα )
Risk-based Internal Audit

ΠΕΡΙΓΡΑΦΗ

According to the Basel Committee on Banking Supervision, internal auditors and supervisors should use risk-based approaches to determine their respective work plans and actions.

Furthermore, the International Standards for the professional practice of Internal Auditing (2010) indicate that the Internal Audit’s Activity Plan of engagements must be based on a documented risk assessment, undertaken at least annually. The COSO – ERM Internal Control System is the most modern and dynamic framework to approach and assess a company’s risks, and its adoption is a major challenge as a bank’s risk profile is constantly evolving.

In addition, the audit approach has changed dramatically in the past decade so that, instead of auditing processes and systems, great emphasis is given to risk–based auditing approaches. To keep up with modern trends, internal auditors should adopt a risk-based engagement. All the more so, considering that companies rarely have excess audit capacity, thus available resources should be used effectively and efficiently.

ΣΚΟΠΟΣ ΣΕΜΙΝΑΡΙΟΥ

Taking part in many case studies and group discussions, participants of the seminar will understand how to systematically assess all types of risks by using a globally accepted practices and will realize their role in the risk assessment process, explore control self-assessment techniques and learn how to organize and execute risk-based auditing.

By the end of the seminar participants will attain a good understanding of the audit process currently used by world class internal audit units and will understand how to effectively execute risk–based audits.

ΣΕ ΠΟΙΟΥΣ ΑΠΕΥΘΥΝΕΤΑΙ

  • Officers and staff working in Internal Audit Units at all levels (inspectors, internal auditors)
  • Officers working in Compliance Units
  • External auditors
  • Audit Committee members
  • Security professionals
  • Risk Management analysts

ΠΕΡΙΣΣΟΤΕΡΕΣ ΠΛΗΡΟΦΟΡΙΕΣ

Training Outline

  • Definition of Risk
  • The internal Control Framework of COSO – ERM
  • Comparison of COSO to COSO – ERM
  • Risk components (Internal Environment, Objective Setting, Identification of Risks, Risk Assessment, Risk Response, Control Activities, Information and Communication, Monitoring)
  • Types of Risks
  • Methods of Risks’ identification
  • Risk Assessment Factors
  • Gross and net Risks
  • Risk Appetite
  • Applying COSO – ERM model
  • Factors of success
  • The internal auditor’s role during the implementation of COSO – ERM
  • The International Standards for the Risk Based Audit
  • Procedures for the formulation of risks catalogue
  • Basic categories of risks
  • Basic principles for the Internal Control Systems
  • Control Self-Assessment techniques – organization of a live workshop
  • Risk Register and Risk Mapping
  • Formulation of the annual audit plan
  • Execution of risk-based audits
  • The internal audit report based on risks
  • Knowledge, capabilities and skills of the auditor to implement risk-based audit 

Training Style

The programme is designed to deliver knowledge and enhance participants’ skills via short lectures, case-studies, practical examples, real-life simulations. Participants will also benefit from customised feedback at the end of the programme and take away the knowledge gained to be transferred to their workplace. 


Most of the training time will be invested in analysing a real-life case study that will help participants understand how to run risk-based audits at all audit faces, how to create the long term and annual planning based on prioritization of risks, how to prepare the audit reports based on risks’ size and how to implement follow up activities risk-based.


Trainer: Konstantinos P. Triantafyllidis

Past President of the Greek Institute of Internal Auditors (IIA Greece) for the period 2003-2008. Mr. Triantafyllidis is a graduate of the Athens Economic University in Economic Science and holds an MBA in Banking. He is currently an Internal Audit consultant while he has over 30 years’ experience in external auditing, internal auditing in the banking sector and as Internal Audit Manager in various subsidiaries of Greek Banking Groups.  He is a Certified Internal Auditor (CIA), a Certified Financial Services Auditor (CFSA) and possesses the Certification in Control Self-Assessment (CCSA). Furthermore he is a Certified Fraud Examiner (CFE) and Accredited Valuator of the Audit Activity by the International Institute of Internal Auditors (The IIA) a field where he is very actively involved. He is member of the External Quality Evaluators of Internal Audit Units of Eurozone’s Central Banks.

Αναλυτικό Κόστος Σεμιναρίου
  • € 220.00
  • € 0.00
  • € 41.80
  • € 220.00
ΠΡΟΓΡΑΜΜΑ ΣΕΜΙΝΑΡΙΟΥ

Τετάρτη - 07 Δεκ 2022

Ώρα

09:00 - 12:45

Τοποθεσία:

OnLine Virtual Classroom

Πέμπτη - 08 Δεκ 2022

Ώρα

09:00 - 12:45

Τοποθεσία:

OnLine Virtual Classroom

Εκδήλωση Ενδιαφέροντος : Risk-based Internal Audit

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Αγγλικά

eLearning

CySEC AML Certification Examination Practice and Mock Exams...

A set of 5 full Mock & Revision Exams in English for the latest CySEC AML Certification Examination Syllabus.Registration and AccessTo register to this course, ...

31/01/2023 19:35

Αγγλικά

eLearning

Compliance Introduction...

A firm needs to establish, implement and maintain adequate policies and procedures sufficient to ensure compliance of the firm (covering its managers, employees...

31/01/2023 19:35

Αγγλικά

eLearning

CySEC Regulations 10 CPD Bundle 8...

Description This CPD bundle includes the following modules: • Anti-Bribery and Anti-Corruption • Treating Customers Fairly and Handling Complaints in the Financ...

31/01/2023 19:35

Αγγλικά

eLearning

CASS iLecture...

CASS iLecture by Vivienne BanniganThis is a 90 minutes interactive iLecture on the In’s and Out’s of the CASS Resolution Pack.BackgroundSince 2010 the Financial...

31/01/2023 19:35

Αγγλικά

eLearning

CySEC Regulations 15 CPD Bundle 5...

Description This CPD bundle includes the following modules: • Practical Aspects of the Compliance Function • Financial Promotion and Marketing Compliance • Trea...

31/01/2023 19:35

Αγγλικά

eLearning

European Market Infrastructure Regulation (EMIR) Overview...

DescriptionThis course offers a comprehensive overview of the EMIR. It addresses the EMIR requirements, the types of counterparties and the clearing obligations...

31/01/2023 19:35

Αγγλικά

eLearning

Market Abuse and Regulation...

DescriptionThis course will provide a comprehensive review of Market Abuse and the respective regulatory environment. It will cover inside information and insid...

31/01/2023 19:35

Αγγλικά

eLearning

Compliance Essentials...

ACompliance Essentials provides comprehensive coverage of the key compliance / conduct issues that financial services sector companies face today. It provides 8...

31/01/2023 19:35

Αγγλικά

eLearning

CIMA – RISK MANAGEMENT (P3)...

This unit explains how to identify, evaluate and manage enterprise risks. You will learn where strategic risks emanate from, how to evaluate them and understand...

31/01/2023 19:35

Αγγλικά

eLearning

CySEC Regulations 10 CPD Bundle 7...

Description This CPD bundle includes the following modules: • AIF and AIFM • Anti-Money Laundering and Terrorism Financing Fundamentals • Market Abuse Regulatio...

31/01/2023 19:35

Αγγλικά

eLearning

CySEC Regulations 15 CPD Bundle 8...

Description This CPD bundle includes the following modules: • ICAAP - Internal Capital Adequacy Assessment Process • The Fund Industry: Latest Regulatory Framew...

31/01/2023 19:35

Αγγλικά

eLearning

Hyperledger Fabric v1.4: Architecting, Designing and Deploying a Netwo...

Description This Hyperledger training course is designed for Architects and System Administrators and other professionals who want to gain a deeper understandin...

31/01/2023 19:35

Αγγλικά

eLearning

CIMA – Case Study (Strategic Level)...

Each level of the CIMA Professional Qualification culminates in a Case Study Examination, which integrates the knowledge, skills and techniques from across the ...

31/01/2023 19:35

Αγγλικά

eLearning

CIMA – Financial Strategy (F3)...

This unit explain the different strategic financial objectives and policy options that are open to organisations. Discuss about the types of funds available to ...

31/01/2023 19:35

Αγγλικά

eLearning

CIMA – Fundamentals of Management Accounting (BA2)...

This subject deals with the fundamental knowledge and techniques that underpin management accounting. It identifies the position of the management accountant wi...

31/01/2023 19:35

Αγγλικά

eLearning

CIMA – Management Accounting (P1)...

This subject which is part of CIMA qualification in diploma in Management Accounting provides you an in-depth understanding of the management activities and pri...

31/01/2023 19:35

Αγγλικά

eLearning

CIMA – Strategic Management (E3)...

This unit provides the foundation of strategic management and an understanding of the dynamics of the organisational ecosystem and how it affects the strategy o...

31/01/2023 19:35

Αγγλικά

eLearning

Market Abuse Regime (MAR) iLecture...

Market Abuse Regime (MAR) iLecture by Vivienne BanniganAn interactive 90-minute on-demand market abuse workshop.BackgroundThe purpose of the market abuse regime...

31/01/2023 19:35

Αγγλικά

eLearning

MiFIR iLecture...

MiFIR Transaction Reporting iLecture by Vivienne BanniganAn interactive 90-minute on-demand MiFIR workshop.BackgroundAccurate and complete MiFIR Transaction Rep...

31/01/2023 19:35

Αγγλικά

eLearning

Anti-Money Laundering and Counter Terrorist Finance...

Τhis course provides staff with an understanding of the process of money laundering, the laws and regulations that make it illegal, and the responsibilities of ...

31/01/2023 19:35

Αγγλικά

eLearning

Approved Persons Regime...

Approved Persons Regime awareness course for all members of firms NOT subject to the Senior Managers & Certification Regime (SM&CR) which came into effect on 7 ...

31/01/2023 19:35

Αγγλικά

eLearning

IGCA Certificate in AML...

The IGCA’s AML Certificate’s CurriculumIGCA’s AML Certificate covers the following specific topics:– Money laundering methods, techniques, red flags and key ris...

31/01/2023 19:35

Αγγλικά

eLearning

Certificate in Compliance...

Every organization faces a myriad of risks that can threaten its operations, reputation, and bottom line. A robust, effective compliance program can make the di...

31/01/2023 19:35

Αγγλικά

eLearning

Compliance Introduction...

Compliance involves the efforts and programs of an organization to ensure that the business complies with government and industry regulations. If your organizat...

31/01/2023 19:35

Αγγλικά

eLearning

Corporate Governance for Financial Institutions...

The concept/term Corporate Governance has featured regularly in discussions, both within the professional and academic community, since the 1990s and has become...

31/01/2023 19:35

Αγγλικά

eLearning

Financial Crime Risk Management...

Financial crime is a well-known and widespread problem that impacts brand value and reputation, goodwill, and revenue of many organizations. In addition to the ...

31/01/2023 19:35

Αγγλικά

eLearning

International Economic Sanctions...

Define sanctions, review the different categories and assess the purpose that they are designed to achieve. Review the global sanctions framework and the key de...

31/01/2023 19:35

Αγγλικά

eLearning

Risk Based Approach (RBA) to Anti Money Laundering...

This course aims to describe and explain the Risk-Based Approach (RBA) procedures so that the firms focus their efforts on those areas where the risk of ML and ...

31/01/2023 19:35

Αγγλικά

eLearning

Senior Managers and Certification Regime...

An online e-learning course aimed as an introductory overview for those working in FCA authorised firms to enable them to understand the Senior Managers and Cer...

31/01/2023 19:35

Αγγλικά

eLearning

SM&CR — The Conduct Rules...

An online e-learning primer aimed as an introductory overview for those working in FCA-regulated firms to enable them to understand the Conduct Rules within the...

31/01/2023 19:35

Αγγλικά

eLearning

Whistleblowing...

A short online e-learning primer for those working in financial services firms explaining the rules on whistleblowing and when it may be appropriate to make a d...

31/01/2023 19:35

Αγγλικά

eLearning

AIF and AIFM...

DescriptionThis course offers a comprehensive introduction to Alternative Investment Funds (AIF) and to Alternative Investment Fund Managers (AIFM) It addresses...

31/01/2023 19:35

Αγγλικά

eLearning

CIMA – Fundamentals of Business Economics (BA1)...

This subject primarily covers the economic and operating context of business and how the factors of competition, the behaviour of financial markets and governme...

31/01/2023 19:35

Αγγλικά

eLearning

MiFIR Transaction Reporting (5 CPD Units)...

DESCRIPTIONMiFID II/MiFIR which came into effect on 3 January 2018, is a new legislative framework which aims to strengthen investor protection and improve the ...

31/01/2023 19:35

5 ώρες (1 ημέρα)

Αγγλικά

eLearning

Corda Distributed Ledger Architecture...

Description This R3 Corda Architecture training is for technical leaders who need to make decisions about architecture, environment, and development platforms u...

31/01/2023 19:35

Αγγλικά

eLearning

UCITS - Undertakings for Collective Investments in Transferable Securi...

DescriptionThis course offers a comprehensive introduction to the Undertakings for Collective Investments in Transferable Securities (UCITS). It addresses the n...

31/01/2023 19:35

Αγγλικά

eLearning

MiFID II Overview...

DescriptionThis course offers a brief overview of MiFID II. It addresses the changes to the market structure under MiFID and MiFID II, and provides a sound grou...

31/01/2023 19:35

Αγγλικά

eLearning

Best Execution...

The FCA rules relating to Best Execution cover all ‘financial instruments’. Firms must establish and implement a Best Execution Policy, setting out details of h...

31/01/2023 19:35

Αγγλικά

eLearning