Audit - Fraud - Risk - Compliance Training

CPE Credits: 1.1 | Quiz-based Video Course | Course duration: 1 hour 10 minutes

Root Cause Analysis (RCA) is a vital problem-solving approach aimed at uncovering the underlying reasons behind issues or incidents, essential for preventing problems from recurring and improving organizational processes.

Root Cause Analysis (RCA) is an essential problem-solving approach designed to uncover the underlying reasons behind issues or incidents. This course aims to equip participants with the knowledge and tools necessary to prevent recurring problems and improve organizational processes. Through a combination of theoretical concepts, practical tools, and real-world case studies, this course offers a comprehensive understanding of RCA and its application in various contexts.

Course Content:

Understand the Importance of RCA:
- Grasp the significance of identifying and addressing the root causes of issues to prevent their recurrence and enhance process efficiency.
RCA for Public Sector Auditors: Understand the importance of using RCA in Performance Audits of public sector organizations
Learn the Process Steps of RCA:
- Identify and define problems or incidents effectively.
- Gather relevant data and information systematically.
- Apply analytical methods to delve into the root causes of issues.
- Develop and implement corrective actions to address identified root causes.
- Monitor the effectiveness of these corrective actions over time.
Master RCA Tools:
- Utilize the 5 Whys Technique to uncover deeper causes behind problems by repeatedly asking “why.”
- Employ the Fishbone Diagram to organize causes into categories such as people, process, and equipment, providing a visual framework for analysis.

By the end of the course, participants will be able to:

Identify and define problems or incidents effectively, and gather relevant data systematically.
Apply the 5 Whys Technique and Fishbone Diagram to analyze and uncover root causes of issues.
Develop and implement corrective actions to address identified root causes, and monitor their effectiveness over time.
Analyze real-world case studies to extract lessons learned and best practices for application in their own organizational contexts.

Course duration: 1 hour

Instructional Delivery Method:	QAS Self Study (On-demand video course)
NASBA Field of Study:	Auditing Technical
Prerequisites:	Knowledge and work experience with drafting audit recommendations is recommended.
Programme Knowledge Level:	Intermediate
Advance preparation:	None
NASBA Sponsor ID:	CPEs are not accepted by NASBA. We are currently applying for NASBA sponsorship.

The General Terms and Conditions apply.

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Instructor:

Isabella Arndorfer (CIA, CCSA, CFSA, mediator) is an experienced Internal Audit and Governance specialist with more than 20 years of experience in the financial sector. She was working as Internal Audit Manager in the Internal Audit Department of the Bank for International Settlements (CH) and at the International Monetary Fund (US) from 2003 to 2023. She has led and conducted audits in the Banking Department, General Secretariat and Monetary and Economic Department, specialising in internal controls and corporate governance issues of financial institutions.

Risk Culture—Belief vs. Behavior: Do We Really Walk the Talk?

CPE Credits: 1 | Quiz-based Video Course | Course duration: 1 hour

Description:

The achievement, within a financial institution, of getting a so-called risk culture seems to many as the pinnacle of risk civilization: some post-historical state in which everybody can share values and attitudes about risk, in which most people know enough about risk, and act accordingly.

Yet how values are shared, how attitudes are shown in all circumstances, etc., are difficult to detect. Are there flags that would tell if we all agree about having a risk culture, whilst being ready to go blindly after unknown risks at the next opportunity?

Course Content:

Risk Culture: Just Beautiful Words? – What is the risk culture within our institution? How is the ‘tone at the top’ adhered to? We suggest a few wrong definitions to keep out of.
Risk culture: top-down, bottom-up, or from client-facing units to back offices? How organizations use risk appetite statements to justify inappropriate risks whilst maintaining a façade of control.
Elements of risk culture; does our risk culture translate in the same way for routine and tail risks?
Testing the effectiveness of risk culture: can we observe if all stakeholders have acted according to the values they claimed to have adopted?
Risk culture when tail risks occur: what did we learn from such episodes, was our risk culture up to the test?
Can we align our risk culture with the institution’s strategy?

Learning Objectives:

By the end of this course, participants will be able to:

Define the risk culture within an institution
Recognize how organizations can profess a given risk culture whilst most critical actions tell otherwise
Understand when risk culture statements do not align with the business strategy.
Identify traits of a risk culture, in the light of risk strategies being deployed
Identify when risk culture is being highjacked for supporting other agendas

Who should attend:
Risk Manager Compliance Officer Internal Auditor Operational Risk Analyst Control Analyst	Risk and Compliance Consultant Business Continuity Manager Finance Manager IT Risk Manager Senior Executive (e.g., CFO, COO)

Instructional Delivery Method:	Self-Study
NASBA Field of Study:	Auditing Technical
Prerequisites:	Knowledge and work experience in an audit and/or internal control function is recommended.
Programme Knowledge Level:	Intermediate
Advance preparation:	None
NASBA Sponsor ID:	CPEs are not accepted by NASBA. We are currently applying for NASBA sponsorship.

Instructor: Fred Vacelet

Fred Vacelet is a seasoned Financial Risk Management Consultant with over 25 years of experience in the banking and financial services sector. He specializes in quantitative risk methodologies, Basel regulations, stress-testing, and governance frameworks. As an independent consultant, Fred has advised global financial institutions, central banks, and regulatory bodies on risk management strategies, operational risk frameworks, and compliance methodologies. His expertise spans credit risk, market risk, operational risk, and regulatory capital optimization, helping institutions navigate complex financial landscapes.

A highly sought-after trainer and speaker, Fred has delivered specialized training programs across multiple continents, focusing on Basel Accords, stress-testing, ICAAP, ALM, and model validation. His deep industry knowledge, combined with hands-on consulting experience, enables him to provide practical insights into financial risk management. Fred holds an MBA from London Business School and multiple professional certifications, including FRM/PRM and IFQ. He is a frequent speaker at industry conferences and has contributed to professional publications on risk management and regulatory developments.

Root Cause Analysis vs Story Telling – 0.5 CPE

Interested in joining the intensive workshop on Root Cause Analysis & earn 6 CPE? Check out the date of the upcoming workshop here: Intensive Workshop – 6-CPE

CPE Credits: 0.5 | Quiz-based Video Course | Course duration: 30 minutes

Root Cause Analysis & Storytelling: Distinct Yet Complementary Approaches in Audit and Risk Management

Description:

Root Cause Analysis (RCA) is a structured problem-solving method used to identify the underlying causes of issues and prevent recurrence. It is a data-driven approach that helps organizations move beyond surface-level symptoms to address fundamental process failures, operational risks, and control weaknesses. However, RCA is often misunderstood, with many equating it to storytelling.

While storytelling is an effective way to communicate findings and engage stakeholders, it does not replace the rigorous analytical methods of RCA. This webinar will clarify the differences between RCA and storytelling, providing practical tools for conducting effective investigations and presenting findings in a compelling yet fact-based manner.

Course Highlights:

Understanding Root Cause Analysis (RCA)
- Definition and principles of RCA
- Importance in audit, risk, and compliance functions
- Common challenges in conducting RCA

Key RCA Techniques and Frameworks
- The “5 Whys” method
- Fishbone (Ishikawa) diagram for cause-effect analysis
- Bow Tie analysis for risk assessment

The Role of Storytelling in Audit and Risk Management
- Differences between RCA and storytelling
- When to use storytelling in audit reports and risk communication
- Structuring narratives to engage stakeholders effectively

Common Pitfalls in RCA and How to Overcome Them
- Poor problem definition and premature conclusions
- Lack of a systematic approach and insufficient expertise
- Overcoming organizational resistance to RCA findings

Best Practices for Communicating RCA Results
- Presenting findings with clarity and impact
- Using data visualization and structured narratives
- Aligning RCA insights with risk management and strategic decisions

Learning Objectives:

By the end of this webinar, participants will be able to:

Understand the key principles and methodologies of Root Cause Analysis.
Differentiate between RCA and storytelling in audit and risk management.
Apply RCA techniques such as the 5 Whys, Fishbone Diagram, and Bow Tie Analysis.
Recognize common pitfalls in RCA and implement strategies to avoid them.
Communicate RCA findings effectively using storytelling techniques.

Who should attend:
Risk Manager Compliance Officer Internal Auditor Operational Risk Analyst Control Analyst	Risk and Compliance Consultant Business Continuity Manager Finance Manager IT Risk Manager Senior Executive (e.g., CFO, COO)

Instructional Delivery Method:	Self-Study
NASBA Field of Study:	Auditing Technical
Prerequisites:	Knowledge and work experience in an audit and/or internal control function is recommended.
Programme Knowledge Level:	Intermediate
Advance preparation:	None
NASBA Sponsor ID:	CPEs are not accepted by NASBA. We are currently applying for NASBA sponsorship.

Instructor:

She has been a lecturer on internal audit and governance issues at central bank seminars in Asia and Europe as well as at the University of St Gallen (Switzerland). She holds a degree in Business Administration from the University of Economics in Vienna (Austria) and a Masters Degree of International Management from ESADE, Barcelona, Spain. She is a Certified Internal Auditor (CIA), a Certified Financial Services Auditor (CFSA) and holds a CCSA (Certificate of Control Self Assessment) from the Institute of Internal Auditors (IIA), Florida, USA.As artificial intelligence (AI) and emerging technologies continue to revolutionize business operations, auditors must develop robust strategies to evaluate their impact and ensure their responsible implementation. This course, Audit Work Programme: Auditing AI and Emerging Technologies, provides a structured approach to assessing AI systems and related technologies. Participants will gain insights into governance frameworks, risk management practices, compliance requirements, and ethical considerations, enabling them to effectively audit these innovative tools while aligning with industry standards and regulations.

Internal Audit Strategy – 1:1 Session
$355.00
CPE Credits: 3 | One-on-one Private Session | Duration: 3 hours

Why This Masterclass?

✅ Personalized 1-on-1 Coaching – Get direct guidance tailored to your needs
✅ Real-World Application – Move beyond theory with actionable strategies
✅ Learn from an Expert – Over 15 years of experience in internal audit & risk management
✅ Flexible Scheduling – Book sessions at a time that works for you

What You’ll Learn

📌 Strategic Audit Planning – Building a risk-based internal audit plan
📌 Aligning Audit with Business Objectives – Ensuring audits drive real value
📌 SWOT Analysis – A step-by-step guide
📌 Stakeholder Engagement & Influence – Gaining executive buy-in
📌 Audit Execution & Reporting – Best practices for impactful reporting

Take a Sneak Peak at the Masterclass Slides!

Slides Audit Strategy IIA Standards

View course details

Regression Analysis in Auditing

CPE Credits: 1.1 | Quiz-based Video Course | Course duration: 1 hour 10 minutes

Description:

Regression analysis is a powerful tool in auditing, enabling professionals to uncover patterns, detect anomalies, and predict financial outcomes with precision. This course focuses on equipping participants with the knowledge and skills needed to apply regression techniques in auditing, ensuring compliance, detecting fraud, and improving decision-making.

Course Content:

Understanding Regression Analysis
- Definition and key concepts.
- Purpose: prediction, explanation, and hypothesis testing.
- Types of regression: simple, multiple, logistic, and polynomial.
Data Preparation
- Data cleaning: handling missing values and outliers.
- Ensuring data consistency: standardizing units and removing duplicates.
- Exploring relationships: using correlation and visualization tools.
Conducting Regression Analysis
- Selecting appropriate models (linear, logistic, multivariate).
- Splitting data into training and testing sets for validation.
- Running analysis using tools like Excel, Python, or R.
Interpreting Results and Taking Action
- Assessing coefficients and significance.
- Identifying outliers: errors, fraud, or exceptional events.
- Reporting findings with clear visualizations and actionable insights.

Learning Objectives:

By the end of this course, participants will be able to:

Design and execute regression analyses tailored to auditing needs.
Clean and prepare datasets to ensure accurate analysis.
Identify anomalies, including fraud or errors, using regression techniques.
Present findings effectively with actionable recommendations for stakeholders.

Who should attend:
Risk Manager Compliance Officer Internal Auditor Operational Risk Analyst Control Analyst	Risk and Compliance Consultant Business Continuity Manager Finance Manager IT Risk Manager Senior Executive (e.g., CFO, COO)

Instructional Delivery Method:	Self-Study
NASBA Field of Study:	Auditing Technical
Prerequisites:	Knowledge and work experience in an audit and/or internal control function is recommended.
Programme Knowledge Level:	Intermediate
Advance preparation:	None
NASBA Sponsor ID:	CPEs are not accepted by NASBA. We are currently applying for NASBA sponsorship.

Instructor:

Auditing Artificial Intelligence

CPE Credits: 1.1 | Quiz-based Video Course | Course duration: 1 hour 10 minutes

Description:

As artificial intelligence (AI) and emerging technologies continue to revolutionize business operations, auditors must develop robust strategies to evaluate their impact and ensure their responsible implementation. This course, Audit Work Programme: Auditing AI and Emerging Technologies, provides a structured approach to assessing AI systems and related technologies. Participants will gain insights into governance frameworks, risk management practices, compliance requirements, and ethical considerations, enabling them to effectively audit these innovative tools while aligning with industry standards and regulations.

Course Content:

1. Planning and Preliminary Activities

Review strategic objectives and initiatives involving AI and emerging technologies.
Identify systems, projects, and processes using AI or other emerging tech.
Assess the regulatory and compliance landscape (e.g., GDPR, EU AI Act).

2. Governance Framework

Verify the existence of policies on AI ethics, data usage, and accountability.
Assess the roles and responsibilities of committees or boards overseeing AI initiatives.
Check alignment with industry frameworks (e.g., ISO 38507 for AI governance).

3. Risk Management

Review the organization’s risk assessments for AI/technology projects.
Validate the inclusion of AI risks in the enterprise risk management (ERM) framework.
Ensure risk appetite for AI-related activities is clearly defined and monitored.

4. Data Management and Privacy

- Verify data quality, integrity, and governance controls for training AI models.
- Assess compliance with data protection laws (e.g., GDPR, CCPA).
- Check for anonymization and encryption of sensitive data used by AI systems.

Learning Objectives:

By the end of this course, participants will be able to:

1. Develop a comprehensive audit work programme tailored to AI and emerging technologies.
2. Assess governance frameworks and risk management practices for AI systems.
3. Ensure compliance with relevant regulatory and ethical standards for AI.
4. Evaluate the operational and organizational impact of AI integration.

Who should attend:
Risk Manager Compliance Officer Internal Auditor Operational Risk Analyst Control Analyst	Risk and Compliance Consultant Business Continuity Manager Finance Manager IT Risk Manager Senior Executive (e.g., CFO, COO)

Instructional Delivery Method:	Self-Study
NASBA Field of Study:	Auditing Technical
Prerequisites:	Knowledge and work experience in an audit and/or internal control function is recommended.
Programme Knowledge Level:	Intermediate
Advance preparation:	None
NASBA Sponsor ID:	CPEs are not accepted by NASBA. We are currently applying for NASBA sponsorship.

Instructor:

Contract Management Audit

CPE Credits: 1.1 | Quiz-based Video Course | Course duration: 1 hour 10 minutes

Description:

Contract management audits play a critical role in ensuring efficiency, compliance, and value for money across the contract lifecycle. This course provides auditors with the tools and techniques to examine contract management practices, mitigate risks, and ensure alignment with organizational objectives. Participants will explore audit objectives, key focus areas, and practical strategies for effective contract evaluation.

Overview of Challenges in Contract Management Audits
- Climate change, digital disruption, and other evolving challenges.
- Importance of compliance, efficiency, and value maximization.
Key Audit Areas
- Project Appraisal
  - Policies for needs assessment and prioritization.
  - Cross-disciplinary consultation for project approval.
- Contractor Selection and Tendering
  - Evaluation of contractor qualifications and financial viability.
  - Processes for tender receipt, opening, and evaluation.
- Financial Controls
  - Monthly reporting and expenditure tracking.
  - Adequacy of insurance and performance bonds.
Performance Monitoring and Post-Completion Review
- Milestone achievements and overpayment safeguards.
- Assessment of project and contractor performance post-completion.

Learning Objectives:

By the end of this course, participants will be able to:

Identify and assess key risk areas in contract management.
Apply effective methodologies for auditing contractor selection and tendering.
Evaluate financial and performance controls across contract lifecycles.
Conduct comprehensive post-completion reviews to ensure organizational value.

Who should attend:
Risk Manager Compliance Officer Internal Auditor Operational Risk Analyst Control Analyst	Risk and Compliance Consultant Business Continuity Manager Finance Manager IT Risk Manager Senior Executive (e.g., CFO, COO)

Instructional Delivery Method:	Self-Study
NASBA Field of Study:	Auditing Technical
Prerequisites:	Knowledge and work experience in an audit and/or internal control function is recommended.
Programme Knowledge Level:	Intermediate
Advance preparation:	None
NASBA Sponsor ID:	CPEs are not accepted by NASBA. We are currently applying for NASBA sponsorship.

Instructor:

Understanding DORA – Digital Operational Resilience Act – Part 1

CPE Credits: 1.1 | Quiz-based Video Course | Course duration: 1 hour 10 minutes

Description:

The Digital Operational Resilience Act (DORA) is a critical regulation designed to ensure that financial institutions in the European Union maintain robust and resilient IT systems capable of withstanding cyber threats and operational disruptions. This course offers an essential foundation for understanding DORA, exploring its objectives, technical specifications, and scope. Whether you’re a risk manager, compliance officer, or IT professional, this course will equip you with the knowledge to align your organization with DORA’s requirements effectively.

Continue learning more in Digital Operational Resilience Act (DORA) – Part 2

Content:

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Learning Objectives:

By the end of this section, participants will be able to:

Explain the objectives of the Digital Operational Resilience Act (DORA) and its importance in the financial sector.
Identify the scope of DORA, including the entities and third-party providers it applies to.
Understand the key technical and organizational measures required under DORA.
Outline the initial steps to prepare for compliance with DORA’s requirements.

Instructional Delivery Method:	Self Study
NASBA Field of Study:	Auditing Technical
Prerequisites:	Knowledge and work experience in an audit or IT function is recommended.
Programme Knowledge Level:	Intermediate
Advance preparation:	None
NASBA Sponsor ID:	CPEs are not accepted by NASBA. We are currently applying for NASBA sponsorship.

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Instructor:

Nancy Wells, (CIA, CISA, CRISC) is an experienced Internal Audit and Technology Governance specialist with more than 20 years of experience in compliance-oriented sectors including finance and healthcare. She worked as an Internal Auditor, Risk professional and head of information security.

She has conducted training for ISACA’s Certified Information Systems Auditor (CISA), Certified Information Security Manager, (CISM). She is a Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), and Certified Risk Professional (CRISC). She also has a deep background in secure payments, having achieved the Payment Card Information (PCIP) credential.

Understanding DORA – Digital Operational Resilience Act – Part 2

CPE Credits: 1.1 | Quiz-based Video Course | Course duration: 1 hour 10 minutes

Description:

Building on the foundation laid in Part 1, this course delves deeper into the Digital Operational Resilience Act (DORA), focusing on its reporting requirements and broader regulatory expectations. Participants will explore the nuances of compliance, learn how to effectively manage incident reporting, and gain insights into aligning with similar regulatory frameworks globally. This course equips participants with practical strategies to address DORA’s complexities and strengthen their organization’s resilience.

Check out Digital Operational Resilience Act (DORA) Part 1 of this course series.

Content:

Deep Dive into DORA Reporting Requirements
- Understand the types of incidents that must be reported under DORA.
- Explore timelines and formats for incident reporting to meet compliance standards.
Managing Third-Party Risks Under DORA
- Assess the regulatory expectations for critical ICT third-party providers.
- Learn strategies to ensure resilience across outsourced IT operations.
Comparative Insights on Global Regulatory Trends
- Examine how DORA aligns with other operational resilience frameworks.
- Identify best practices for navigating cross-jurisdictional compliance challenges.
Developing a Compliance Strategy
- Learn how to integrate DORA requirements into existing risk management frameworks.
- Discover tools and methodologies for monitoring and maintaining compliance.

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Learning Objectives:

By the end of this section, participants will be able to:

Understand the detailed reporting requirements outlined in DORA and their practical implications.
Assess the regulatory expectations for managing third-party risks under DORA.
Compare DORA with similar operational resilience regulations in other jurisdictions.
Develop effective strategies to achieve and sustain DORA compliance.

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Instructional Delivery Method:	Self Study
NASBA Field of Study:	Auditing Technical
Prerequisites:	Knowledge and work experience in an audit or IT function is recommended.
Programme Knowledge Level:	Intermediate
Advance preparation:	None
NASBA Sponsor ID:	CPEs are not accepted by NASBA. We are currently applying for NASBA sponsorship.

Please check out our General Terms and Conditions.

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Instructor:

Navigating Emerging Audit Risks: A 2025 Perspective

Rated 5.00 out of 5

CPE Credits: 1.1 | Quiz-based Video Course | Course duration: 1 hour 10 minutes

Description:

The audit landscape in 2025 presents unprecedented challenges driven by rapid technological advancements, regulatory pressures, and emerging global risks. This course will equip internal auditors with insights and strategies to navigate these complex challenges effectively. Participants will gain a deep understanding of the top risks facing organizations, such as cybersecurity threats, digital disruption, and climate change.

Understanding the Evolving Risk Landscape
- Cybersecurity Threats: Exploring the latest trends and prevention strategies.
- Business Continuity Planning: Ensuring resilience amid operational disruptions.
- Human Capital Risks: Addressing skills shortages and talent retention challenges.
Emerging Risks and Audit Implications
- Digital Disruption: Impact of AI, machine learning, and automation on audit processes.
- Climate Change: Identifying and auditing environmental and sustainability risks.
- Regulatory Changes: Adapting to new regulations and compliance requirements.
Strategic Response to Key Audit Challenges
- Data-Driven Auditing: Leveraging data analytics for more efficient audits.
- Enhanced Stakeholder Engagement: Strengthening communication with key stakeholders.
- Risk-Based Audit Planning: Prioritizing audits based on risk severity and impact.

Learning Objectives:

By the end of this course, participants will be able to:

dentify and understand the top risks anticipated to impact audits in 2025, including cybersecurity, digital disruption, and climate change.
Develop effective audit strategies to address emerging risks and align audit processes with organizational resilience goals.
Utilize data analytics and technology-driven tools to enhance audit efficiency and effectiveness in a digital-first world.
Strengthen stakeholder engagement and communication skills to better advocate for audit’s role in managing critical risks.

Who should attend:
Risk Manager Compliance Officer Internal Auditor Operational Risk Analyst Control Analyst	Risk and Compliance Consultant Business Continuity Manager Finance Manager IT Risk Manager Senior Executive (e.g., CFO, COO)

Instructional Delivery Method:	Self-Study
NASBA Field of Study:	Auditing Technical
Prerequisites:	Knowledge and work experience in an audit and/or internal control function is recommended.
Programme Knowledge Level:	Intermediate
Advance preparation:	None
NASBA Sponsor ID:	CPEs are not accepted by NASBA. We are currently applying for NASBA sponsorship.

Instructor:

Predictive Auditing – Revolutionizing Financial Oversight

CPE Credits: 1.1 | Quiz-based Video Course | Course duration: 1 hour 10 minutes

Description:

Predictive auditing is transforming financial oversight by leveraging advanced analytics and machine learning to predict potential risks and enhance decision-making. Moving beyond traditional audit methods, this approach enables continuous monitoring and proactive risk management, helping organizations prevent issues before they arise.

Content:

Introduction to Predictive Auditing
- Evolution of auditing practices: from traditional to predictive.
- Key characteristics of predictive auditing.
- Overview of the tools and technologies used (e.g., machine learning, big data).
Core Predictive Auditing Techniques
- Anomaly detection: Identifying outliers and irregular transactions.
- Trend analysis: Using historical data to anticipate future risks.
- Risk scoring: Prioritizing areas for review based on potential impact.
Implementing Predictive Auditing Systems
- Data integration and quality assurance: Ensuring reliable, consistent data.
- Model development: Designing predictive models for specific audit needs.
- Real-time monitoring: Continuous assessment of financial activities.
Challenges and Ethical Considerations
- Data privacy and security: Safeguarding sensitive financial information.
- Skill gaps in predictive auditing: Bridging knowledge in data science.
- Balancing automation and human oversight.

Learning Objectives:

By the end of this course, participants will be able to:

Understand the fundamentals of predictive auditing and its evolution in financial oversight.
Apply core predictive techniques, such as anomaly detection and trend analysis, to auditing processes.
Develop strategies to integrate predictive auditing systems into existing audit frameworks.
Address the ethical and technical challenges of predictive auditing, including data privacy and the role of human judgment.

Who should attend:
Risk Manager Compliance Officer Internal Auditor Operational Risk Analyst Control Analyst	Risk and Compliance Consultant Business Continuity Manager Finance Manager IT Risk Manager Senior Executive (e.g., CFO, COO)

Instructional Delivery Method:	Self-Study
NASBA Field of Study:	Auditing Technical
Prerequisites:	Knowledge and work experience in an audit and/or internal control function is recommended.
Programme Knowledge Level:	Intermediate
Advance preparation:	None
NASBA Sponsor ID:	CPEs are not accepted by NASBA. We are currently applying for NASBA sponsorship.

Instructor:

Risk and Control Self-Assessment

CPE Credits: 1.1 | Quiz-based Video Course | Course duration: 1 hour 10 minutes

Description:

Risk and Control Self-Assessment (RCSA) is a structured and collaborative process that empowers organizations to evaluate their control environment and proactively manage operational risks. By engaging key stakeholders across functions, RCSA ensures that control gaps are identified and mitigated, supporting a culture of accountability and continuous improvement within the organization.

Content:

Understanding RCSA
- Definition and purpose within risk management.
- Differentiation from traditional audits and its value for proactive risk management.
Core RCSA Components

- Risk identification and assessment for comprehensive control review.
- Evaluation of control design, implementation, and effectiveness to pinpoint areas for improvement.

Stakeholder Engagement
- Importance of involving management, experts, and operational teams for thorough assessments.
- Fostering ownership and accountability for risk controls.
RCSA Methodologies
- Overview of facilitated workshops, surveys, and alternative methods (e.g., root cause analysis).
- Application of industry frameworks to maintain consistency and reproducibility.
Action Planning and Reporting
- Developing SMART action plans to address control weaknesses.
- Best practices for reporting results to management with clear visuals, summaries, and actionable insights.

Learning Objectives:

By the end of this course, participants will be able to:

Understand the purpose, process, and benefits of Risk and Control Self-Assessment (RCSA).
Identify critical risk and control factors in operational and financial processes.
Develop skills needed to implement RCSA effectively within an organization.
Analyze RCSA outcomes and use data to enhance risk management and audit processes.

Who should attend:
Risk Manager Compliance Officer Internal Auditor Operational Risk Analyst Control Analyst	Risk and Compliance Consultant Business Continuity Manager Finance Manager IT Risk Manager Senior Executive (e.g., CFO, COO)

Instructional Delivery Method:	Group Live
NASBA Field of Study:	Auditing Technical
Prerequisites:	Knowledge and work experience in an audit and/or internal control function is recommended.
Programme Knowledge Level:	Intermediate
Advance preparation:	None
NASBA Sponsor ID:	CPEs are not accepted by NASBA. We are currently applying for NASBA sponsorship.

Instructor:

Auditing IT General Controls

Rated 5.00 out of 5

CPE Credits: 1.1 | Quiz-based Video Course | Course duration: 1 hour 10 minutes

Description:

This course offers an in-depth exploration of how to effectively audit IT General Controls (ITGC), which form the foundation for securing an organization’s IT environment. Auditing ITGC is essential to ensure that IT systems are protected against threats, operate reliably, and meet compliance requirements. Through practical examples, audit steps, and real-world insights, participants will gain the knowledge needed to evaluate and strengthen IT controls within their organizations.

Content:

1. Introduction to IT General Controls (ITGC)

Definition: ITGC ensures the integrity, security, and availability of IT systems and data.
Importance: Critical for operational efficiency, security, and regulatory compliance.
Key Categories: Access controls, change management, IT operations, and SDLC controls.

2. Access Controls

Role-Based Access: Ensure access rights align with job responsibilities.
Segregation of Duties: Prevent conflicts by separating critical tasks.
Access Provisioning: Review processes for granting and revoking user access.

3. Change Management Controls

Authorization: Ensure all changes are approved before implementation.
Documentation: Changes should be well-documented and tracked.
Testing: Verify changes through thorough testing before deployment.

4. IT Operations

Backup and Recovery: Ensure regular backups and test recovery processes.
Monitoring: Continuously monitor system performance and incidents.
Incident Response: Evaluate the effectiveness of incident handling procedures.

5. System Development Life Cycle (SDLC) Controls

Segregation of Environments: Separate development, testing, and production environments.
Testing and Approval: Ensure thorough testing and formal approval before deployment.
Documentation: Maintain records of all stages in the SDLC process.

Learning Objectives:

By the end of this course, participants will be able to:

Understand the core components of IT General Controls and their role in ensuring the security and reliability of IT systems.
Evaluate user access management processes to ensure appropriate levels of access and identify potential risks.
Audit change management controls to ensure that all IT system changes are properly authorized, tested, and documented.
Assess IT operations controls such as backup, recovery, and monitoring processes to verify business continuity measures.
Review System Development Life Cycle (SDLC) controls to ensure systems are developed and deployed securely, minimizing risks to IT environments.

Who should attend:
Risk Manager Compliance Officer Internal Auditor Operational Risk Analyst Control Analyst	Risk and Compliance Consultant Business Continuity Manager Finance Manager IT Risk Manager Senior Executive (e.g., CFO, COO)

Instructional Delivery Method:	Group Live
NASBA Field of Study:	Auditing Technical
Prerequisites:	Knowledge and work experience in an audit and/or IT function is recommended.
Programme Knowledge Level:	Intermediate
Advance preparation:	None
NASBA Sponsor ID:	CPEs are not accepted by NASBA. We are currently applying for NASBA sponsorship.

Instructor:

Internal Audit and Compliance – Roles, Responsibilities, and Best Practices

CPE Credits: 1.1 | Quiz-based Video Course

CPE Credits: 1.1 | Quiz-based Video Course | Course duration: 1 hour 10 minutes

Description:

This course offers a comprehensive understanding of the relationship between internal audit and compliance, focusing on how these two functions play distinct yet complementary roles in risk management and governance. Participants will gain practical insights into fostering collaboration between audit and compliance teams, leveraging their combined strengths to ensure regulatory compliance and enhance internal controls. Real-life case studies and best practices will guide attendees in overcoming common challenges and improving organizational performance.

Content:

Understanding the Distinct Roles of Internal Audit and Compliance
- Internal Audit: Objective assurance on risk management, governance, and internal controls.
- Compliance: Ensuring adherence to laws, regulations, and internal policies to prevent violations.
Exploring Shared Objectives of Risk Management, Regulatory Compliance, and Internal Control Enhancement
- Both functions aim to mitigate risks, ensuring operational resilience and regulatory adherence.
- Promoting ethical culture and accountability across the organization.
Strategies for Effective Collaboration Between Audit and Compliance Teams
- Establishing clear communication channels and coordinating risk assessments.
- Avoiding duplication of efforts by sharing findings and regulatory insights regularly.
Overcoming Challenges: Overlapping Responsibilities and Maintaining Audit Independence
- Clarifying roles to prevent misunderstandings and reduce overlaps in tasks.
- Ensuring internal audit maintains independence while fostering a collaborative relationship with compliance.
Best Practices and Case Studies Showcasing Successful Audit-Compliance Partnerships
- Real-world examples of joint initiatives in areas like fraud detection and anti-money laundering (AML).
- Lessons learned from compliance failures due to poor coordination, and successful outcomes where audit and compliance aligned effectively.

Who should attend:
Risk Manager Compliance Officer Internal Auditor Operational Risk Analyst Control Analyst	Risk and Compliance Consultant Business Continuity Manager Finance Manager IT Risk Manager Senior Executive (e.g., CFO, COO)

Instructional Delivery Method:	Group Live
NASBA Field of Study:	Auditing Technical
Prerequisites:	Knowledge and work experience in an audit and/or compliance function is recommended.
Programme Knowledge Level:	Intermediate
Advance preparation:	None
NASBA Sponsor ID:	CPEs are not accepted by NASBA. We are currently applying for NASBA sponsorship.

Instructor:

Operational Risk – An Overview

CPE Credits: 1.1 | Quiz-based Video Course

👉 This FREE live webinar offers an overview of operational risk management, such as taxonomy, measuring of operational risk exposure, mitigating measures and Risk and Control Self-Assessments (RCSAs) and Key Risk Indicators (KRIs). While many organizations implement these processes, they often miss the mark in delivering meaningful outcomes.

👉 Take advantage of this FREE Live webinar providing you the basics of operational risk management.

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Instructor – Syed Haydar Hussain

Syed Haydar Hussain is a highly experienced risk management professional with over 20 years in operational risk management. Syed has over 15 years of experience in the financial sector, focusing on operational and IT risks. He has implemented comprehensive risk and control assessments to identify system vulnerabilities and developed tailored mitigation strategies that align with organizational goals. While at the London Stock Exchange Group, he led technology and cyber risk oversight for the UnaVista legal entity, creating a technology risk management framework that enhanced cyber resilience and drove the adoption of industry-standard policies.

In his work, Syed has implemented frameworks that build strong, risk-aware cultures across organizations, embedding risk management into daily operations. At Network Rail, he developed a risk reporting framework that significantly improved decision-making and boosted stakeholder confidence. His expertise lies in helping businesses embed proactive risk management practices that not only mitigate threats but also position them for long-term success. Syed’s passion for sharing knowledge ensures that participants leave the course with practical skills and confidence to manage operational risks effectively

Learning objectives:

– Gain an understanding of operational risk areas and definitions.

– Learn about past events associated with operational risk failures.

– Familiarize with the important areas, such as Key Risk Indicators and Control Self-Assessment.

Who should attend:
Risk Manager Compliance Officer Internal Auditor Operational Risk Analyst Control Analyst	Risk and Compliance Consultant Business Continuity Manager Finance Manager IT Risk Manager Senior Executive (e.g., CFO, COO)

Instructional Delivery Method:	Self Study
NASBA Field of Study:	Auditing Technical
Prerequisites:	Knowledge and work experience in an audit function or operational risk function is recommended
Programme Knowledge Level:	Intermediate
Advance preparation:	None
NASBA Sponsor ID:	CPEs are not accepted by NASBA. We are currently applying for NASBA sponsorship.

Enterprise Risk and Business Continuity Management in the Public Sector

CPE Credits: 1.1 | Quiz-based Video Course

👉This webinar provides expert insights enterprise risk and business continuity management, this course offers practical knowledge drawn from years of experience in both public and private healthcare sectors.

👉 Participants will learn about proven Enterprise Risk and Business Continuity Management frameworks, providing valuable tools to enhance resilience and risk management practices in their own organizations.

👉 Advanced Risk Techniques: Gain hands-on understanding of ISO 9001 and ISO 45001 audit practices, and how these internationally recognized standards can be integrated into enterprise risk and continuity strategies.

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Guest Speaker – Clarence Chong

Clarence Chong is an Enterprise Risk Management Professional, who presently works in the Singapore public sector, leading the Enterprise Risk & Business Continuity Management portfolio in Health Sciences Authority. He is also a council member of Risk & Insurance Association Management of Singapore (RIMAS).

Clarence’s extensive career spans from the public healthcare sector to private sectors includes roles in Enterprise Risk Management and Quality Management, where he has demonstrated a commitment to continuous improvement. He has spearheaded several transformative initiatives involving project management and stakeholder engagement throughout his career. He holds certifications such as the Certified Enterprise-wide Risk Management Manager (CERM) awarded by the Asia Risk Management Institute and Certified Business Continuity Institute (CBCI) awarded by Business Continuity Institute (CBI). He is also certified lead auditor for both ISO 9001 (Quality Management System) and 45001 (Occupational Health and Safety).

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Course Overview

Introduction to Health Sciences Authority (HSA)
Overview of HSA Enterprise Risk Management Framework
Overview HSA Business Continuity Management Framework
HSA Risk and Resilience Culture
Introduction to Risk & Insurance Management Association of Singapore (RIMAS)
Overview of what RIMAS does

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Learning Objectives:

By the end of this section, participants will be able to:

Understand the structure and components of an Enterprise Risk Management Framework.
Gain insights into the Business Continuity Management Framework and its application in the health sector.
Explore the risk and resilience culture within HSA and how it supports operational sustainability.
Learn about the role and activities of the Risk & Insurance Management Association of Singapore (RIMAS) in promoting risk management best practices.

Instructional Delivery Method:	Self Study
NASBA Field of Study:	Auditing Technical
Prerequisites:	Knowledge and work experience in an audit function is recommended
Programme Knowledge Level:	Intermediate
Advance preparation:	None
NASBA Sponsor ID:	CPEs are not accepted by NASBA. We are currently applying for NASBA sponsorship.

Audit Roles in ESG

Rated 5.00 out of 5

CPE Credits: 1.1 | Quiz-based Video Course

In this course, Audit Roles in ESG, you’ll learn how to navigate the growing importance of Environmental, Social, and Governance (ESG) in modern business. As auditors, you’ll discover how to assess and verify ESG disclosures, ensuring companies meet sustainability goals and adhere to key frameworks like GRI, SASB, and TCFD. Through engaging lessons and practical case studies, you’ll gain the skills to audit environmental impacts, social practices, and governance structures. By the end, you’ll be equipped to ensure compliance, mitigate risks, and help organizations foster transparency and build trust with stakeholders.

Content:

Understanding ESG Frameworks and Standards
- Overview of key ESG frameworks (e.g., GRI, SASB, TCFD)
- Role of auditors in ensuring compliance with ESG reporting standards
Auditing Environmental Responsibilities
- Evaluating environmental impact reporting (carbon footprint, resource usage)
- Ensuring regulatory compliance and sustainability goals
Auditing Social Factors
- Assessing human rights, labor practices, and diversity initiatives
- Reviewing health and safety compliance and social responsibility programs
Governance Audit Responsibilities
- Evaluating corporate governance structures and ethics policies
- Auditing risk management, transparency, and stakeholder engagement practices.

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Learning Objectives:

By the end of this section, participants will be able to:

Understand key ESG frameworks and the auditor’s role in ensuring compliance.
Assess environmental impacts and verify sustainability reporting accuracy.
Evaluate social factors, including labor practices and social responsibility initiatives.
Review governance structures, risk management, and transparency in ESG practices.

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Course duration: 1 hour 10 minutes

CPE credits: 1.1

Instructional Delivery Method:	Self Study
NASBA Field of Study:	Auditing Technical
Prerequisites:	Knowledge and work experience in an audit function is recommended
Programme Knowledge Level:	Intermediate
Advance preparation:	None
NASBA Sponsor ID:	CPEs are not accepted by NASBA. We are currently applying for NASBA sponsorship.

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Instructor:

Auditing Fixed Assets

CPE Credits: 1.1 | Quiz-based Video Course

This course provides a comprehensive overview of auditing fixed assets, including the key objectives, procedures, and methods for accurate valuation and depreciation. You will learn how to effectively verify asset existence, apply various depreciation methods, and ensure compliance with both internal and external standards, ultimately helping you optimize asset management and drive continuous improvement in your organization.

Content:

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Learning Objectives:

By the end of this section, participants will be able to:

Understand fixed asset audit objectives and benefits.
Implement effective audit procedures and updates.
Apply various depreciation methods accurately.
Ensure compliance and leverage findings for improvement.

Course duration: 1 hour 10 minutes

CPE credits: 1.1

Instructional Delivery Method:	Self Study
NASBA Field of Study:	Auditing Technical
Prerequisites:	Knowledge and work experience in an audit function and in financial statements is recommended
Programme Knowledge Level:	Intermediate
Advance preparation:	None
NASBA Sponsor ID:	CPEs are not accepted by NASBA. We are currently applying for NASBA sponsorship.

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Instructor:

Integrating Risk Control Measures into Internal Audit Processes

CPE Credits: 1.1 | Quiz-based Video Course

In this course on “Integrating Risk Control Measures into Internal Audit Processes,” we will explore how to effectively incorporate risk control measures into the auditing framework to enhance overall risk management. Participants will learn about different types of risk controls, how to integrate these controls into audit planning, techniques for evaluating their effectiveness, and best practices for reporting and recommending improvements. By understanding and applying these concepts, auditors can strengthen their role in identifying and managing risks within their organizations.

Content:

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Learning Objectives:

By the end of this section, participants will be able to:

Identify Key Risk Control Measures: Understand different types of risk controls and their organizational roles.
Integrate Controls into Audit Planning: Align audit objectives with risk control goals during the planning process.
Evaluate Control Effectiveness: Apply techniques to assess and test the effectiveness of risk controls.
Report and Recommend Improvements: Provide actionable recommendations and best practices for enhancing risk controls.

Course duration: 1 hour 10 minutes

CPE credits: 1.1

Instructional Delivery Method:	Self Study
NASBA Field of Study:	Auditing Technical
Prerequisites:	Knowledge and work experience in an audit function and familiarity with Risk Management practices are recommended.
Programme Knowledge Level:	Intermediate
Advance preparation:	None
NASBA Sponsor ID:	CPEs are not accepted by NASBA. We are currently applying for NASBA sponsorship.

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Instructor:

Ethics and Integrity in Auditing – Case Studies

$115.00

CPE Credits:2.0 | Quiz-based video course

Course Content:

In the field of auditing, ethical considerations and maintaining integrity are paramount to ensuring unbiased and accurate results. This course delves into the critical challenges auditors face, including managing conflicts of interest and upholding professional integrity amidst various pressures. By examining real-world scenarios and best practices, participants will gain valuable insights into navigating ethical dilemmas and reinforcing ethical standards within their auditing practices.

The CPE credits from this webinar count toward the 2 ethics CPE credits required annually by the IIA.

Content:

Core Principles: Objectivity, integrity, confidentiality, and professional behavior.
Professional Codes: Overview of relevant codes such as the IIA Code of Ethics.

2. Common Ethical Challenges

Conflicts of Interest: Identifying and managing situations where personal interests may conflict with professional duties.
Pressure and Influence: Understanding and mitigating the impact of external and internal pressures on audit decisions.
Fraud and Misrepresentation: Approaches for detecting and addressing fraudulent activities and misrepresentations.

3. Maintaining Integrity in Auditing

Professional Integrity: Importance of adhering to ethical standards and best practices.
Transparency and Accountability: Ensuring clarity and responsibility in audit processes and reporting.

4. Ethical Decision-Making and Best Practices

Decision-Making Frameworks: Models and strategies for making ethical decisions in complex situations.
Implementing Ethics: Best practices for fostering an ethical culture and training within the audit function.

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Learning Objectives:

By the end of this section, participants will be able to:

Recognize and apply key ethical principles in auditing, including objectivity, integrity, and confidentiality
Identify and manage common ethical challenges and conflicts of interest in auditing
Utilize decision-making models to resolve ethical dilemmas effectively in auditing scenarios
Establish and enforce best practices to promote and maintain ethical standards within the audit function

Course duration: 2 hours

CPE credits: 2.0

Instructional Delivery Method:	Self Study
NASBA Field of Study:	Auditing Technical
Prerequisites:	Knowledge and work experience in an audit function and familiarity with the IIA Code of Ethics is recommended.
Programme Knowledge Level:	Intermediate
Advance preparation:	None
NASBA Sponsor ID:	CPEs are not accepted by NASBA. We are currently applying for NASBA sponsorship.

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Instructor: