ComplianceOnline

"Internal Audit, Fraud Risk Assessment and Risk Management Annual Plan" - ComplianceOnline is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org. CPE credits offered : 16.8

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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$1,299.00

Seminar One Registration

March 26-27, 2020, Los Angeles, CA
(For Registrations till February 15, 2020 - $1299)
(For Registrations after February 15, 2020 - $1599)




Early bird seats are limited and based on first-come, first-serve.

Your registration fee includes the workshop, all course materials and lunch.


For discounts on multiple registrations, contact customer care at +1-888-717-2436.

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Pay your check to (payee name) “MetricStream Inc” our parent company and Mail the check to:

ComplianceOnline (MetricStream, Inc),
2479 E. Bayshore Road Suite 260
Palo Alto, CA 94303
USA

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Terms & Conditions to Register for the Seminar/Conference/Event

Your registration for the seminar is subject to following terms and conditions. If you need any clarification before registering for this seminar please call us @ +1-888-717-2436 or email us @ customercare@complianceonline.com

Payment:
Payment is required 2 days before the date of the conference. We accept American Express, Visa and MasterCard. Make checks payable to MetricStream Inc. (our parent company).

Cancellations and substitutions:
Written cancellations through fax or email (from the person who has registered for this conference) received at least 10 calendar days prior to the start date of the event will receive a refund - less a $300 administration fee. No cancellations will be accepted - nor refunds issued - within 10 calendar days before the start date of the event.

On request by email or fax (before the seminar) a credit for the amount paid minus administration fees ($300) will be transferred to any future ComplianceOnline event and a credit note will be issued.

Substitutions may be made at any time. No-shows will be charged the full amount.

We discourage onsite registrations, however if you wish to register onsite, payment to happen through credit card immediately or check to be submitted onsite. Conference material will be given on the spot if it is available after distributing to other attendees. In case it is not available, we will send the material after the conference is over.

In the event ComplianceOnline cancels the seminar, ComplianceOnline is not responsible for any airfare, hotel, other costs or losses incurred by registrants. Some topics and speakers may be subject to change without notice.

Attendance confirmation and documents to carry to the seminar venue:
After we receive the payment from the registered attendee, an electronic event pass will be sent to the email address associated with the registrant 5 working days before the seminar date. Please bring the pass to the venue of the event.

Conference photograph / video:
By registering and attending ComplianceOnline conference, you agree to have your photographs or videos taken at the conference venue and you do not have any objections to ComplianceOnline using these photos and videos for marketing, archiving or any other conference related activities. You agree to release ComplianceOnline from any kind of claims arising out of copyright or privacy violations.

Location :

Los Angeles, CA
(Venue to be announced shortly)

March 26-27, 2020

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Testimonials

See What People Say About Us

Relevant topics and good interaction with instructor and participants.

Head of Risk Management,

Insigneo Financial Group

Great Speaker/Presenter. All info was applicable & Class discussions were interesting.

Internal Auditor,

Sedgwick County

This topic most valuable to me was "Fraud Assessment" and area of interest.

Risk Due Diligence Manager,

GSK

Great Training.

Internal Compliance Auditor,

Professional Contract Services Inc.

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We are pleased to offer several exhibitor, sponsorship and media partnership options designed to maximize your company's exposure and networking opportunities before, during and after the event.

Benefits of becoming a Sponsor/Exhibitor/Media Partner:

  • Logo on website, marketing email, branding materials & the registration booth
  • Exhibit Space
  • Free event pass
  • Speaking opportunity
  • Social media campaign

For more details and other sponsorship options at this event, please contact Event Manager: customercare@complianceonline.com or call: +1-650-238-9656

Media Partner:

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