Risk Compliance Matrix for Internal Audit and SOX Operations - Active and Engaged Risk Management Activities
Instructor:
Marna Steuart
Product ID: 704809
- Duration: 75 Min
Why Should You Attend:
Whether you are planning a SOX engagement, or an internal audit, regulatory compliance requirements, or other separate evaluations, just where do you start with planning for the engagement? How do you complete the necessary risk and control documentation that you will need to successfully complete the engagement? This webinar will answer these questions and more.
This webinar will equip risk and compliance professionals with the skills necessary to prepare a risk and controls matrix, including the following:
- Discover the objectives, components and requirements of effective internal controls
- Leveraging internal control frameworks to create a risk and controls matrix
- Developing risk identification and management strategies to implement now
- Learning how to design internal controls
- Learning how to evaluate the design and operating effectiveness of internal controls
Areas Covered in the Webinar:
- What information is needed to prepare the risk and controls matrix?
- What accompanying documents are required in order to prepare the risk and controls matrix?
- Process narrative
- Process flow diagram
- What are the elements contained in a risk and controls matrix?
- What is the process for preparing the risk and controls matrix?
- What is the final outcome of a completed risk and controls matrix?
- What happens next after you have completed the risk and controls matrix?
Who Will Benefit:
- Internal Auditors
- Compliance Professionals
- Operational Risk Professionals
- Finance Professionals
- Board Members
- Internal Auditors
- External Auditors
- Audit Committee Members
- Operational Risk Managers
- Departmental Managers
Marna Steuart
Consultant, Colorado Public Utilities Commission
Marna Steuart 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 different capacities in various industries. Ms. Steuart has performed collective bargaining contracts, and construction contract audits of several third-party contracts. She has also performed vendor contract audits of purchase power contracts and third-party vendor contracts for services throughout her career as an internal auditor. She has firsthand knowledge of where to look in a contract for possible risks and of case studies that would save thousands of dollars’ for organizations.
More Training By Experts
- Guidelines for Performing Fraud Risk Assessment and Guidance on How to Conduct an Internal Fraud Investigation
- Critical Anti-Fraud Audits under Procurement and Accounts Payable
- How to Prepare an Effective Audit Manual for an Internal Audit Department
- Guidelines for Performing a Corporate Wide Internal Audit Risk Assessment
- 3-Hour Virtual Training: Guidelines for Performing a Corporate Wide Internal Audit Risk Assessment
Refund Policy
Our refund policy is governed by individual products and services refund policy mentioned against each of offerings. However in absence of specific refund policy of an offering below refund policy will be effective.
Registrants may cancel up to two working days prior to the course start date and will receive a letter of credit to be used towards a future course up to one year from date of issuance. ComplianceOnline would process/provide refund if the Live Webinar has been cancelled. The attendee could choose between the recorded version of the webinar or refund for any cancelled webinar. Refunds will not be given to participants who do not show up for the webinar. On-Demand Recordings can be requested in exchange. Webinar may be cancelled due to lack of enrolment or unavoidable factors. Registrants will be notified 24hours in advance if a cancellation occurs. Substitutions can happen any time. On-Demand Recording purchases will not be refunded as it is available for immediate streaming. However if you are not able to view the webinar or you have any concern about the content of the webinar please contact us at below email or by call mentioning your feedback for resolution of the matter. We respect feedback/opinions of our customers which enables us to improve our products and services. To contact us please email [email protected] call +1-888-717-2436 (Toll Free).
