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Lead Auditor Tools and Techniques

August 12-13, 2020

Making the move from staff auditor to lead auditor requires an entirely new set of skills. Skills that are not necessarily inherent to the staff auditor.  This course teaches the skills necessary to lead an audit engagement and audit team with confidence. This course walks through the entire life cycle of an audit from the lead internal auditor’s perspective while examining the internal control environment and audit governance.

This course is designed for internal auditors with 3-6 years’ experience who are starting to lead engagements and audit teams. The course is taught with an interactive approach through a combination of lecture, discussions, small group and individual exercises and real-world case studies.

Upon completion of this course, participants will be able to:

  • Identify the core elements of the International Professional Practices Framework (IPPF) as they relate to the lead auditor role.
  • Identify the components of the COSO Internal Control Framework as they relate to the lead auditor role.
  • Understand the roles and responsibilities of audit management, lead auditor, auditee, and auditee management.
  • Characteristics necessary to becoming an effective leader.
  • Skills necessary for leading and mentoring staff.
  • Understand the components of the audit planning and opening conference.
  • Identify best practices for conducting an audit risk assessment, walkthrough, and audit program development.
  • Understand the review requirements for audit fieldwork and testing.
  • Learn best practices for audit observations and findings and recommendations.
  • Learn what should be part of an exit conference.
  • Understand what makes for effective reporting.
  • Demonstrate the steps necessary to wrap up the audit after the report is issued.
  • Recognize the formal quality assurance standards that the internal audit function is required to follow.