Course Description:

While IIA Standards and other guidance, from internal audit thought leaders and the consulting firms, advocate a "risk-based" approach to internal auditing, they generally don't provide a great deal of guidance on what that means and how to accomplish it. If internal audit is to be “relevant” (a term increasingly being used to question whether internal audit is delivering what the organization needs most), it is important to ensure that the engagements it will perform focus on the risks that matter to the organization today.

This course will provide individuals with tools and techniques to implement a modern risk-based internal audit plan and ensure that internal audit is considered relevant and valuable to its stakeholders on the board and in top management.

Participants will leave the course with confidence that they can build a risk-based audit plan that is agile and designed to address the risks that matter to the organization. This will help them ensure that internal audit engagements address the areas where the function can contribute the greatest value to the organization.

Norman Marks is an individual who has not only led world-class internal audit departments that practiced risk-based internal auditing, but has been a passionate advocate of such practices for many years - including writing about it on his blog with the IIA. He brings to the topic a deep understanding of both internal auditing and risk management (he is an Honorary Fellow of the Institute of Risk Management).

Who will Benefit:

This course is designed for all those who are responsible for developing, or assisting in developing, the internal audit plan. The following job titles/ positions will benefit from attending:

  • Chief Audit Executives
  • Internal Audit Directors and Managers
  • Bank Regulators and Examiners
  • Internal Audit Consultants

Interview with
Norman Marks, Evangelist for Better Run Business

Topic Background:

A traditional audit plan is developed at a point in time, but risks change constantly in this dynamic world. A true risk-based audit plan needs to be similarly dynamic and modified as risks change. In addition, traditional audit plans have focused on risks at the location or process level, which may not be the same as the risks that matter to the organization as a whole – the risks that the board and executive management team worry about.

Course Outline:

Day One (8:30 AM – 4:30 PM) Day Two (8:30 AM – 4:30 PM)

Registration Process: 8:30 AM – 9:00 AM

Session Start Time: 9:00 AM

  • What does “risk-based mean”
  • How do audit departments build their audit plans today?
  • What is internal auditing about? Is it about performing audits?
  • Understanding “assurance”
  • How internal audit is evolving to meet new challenges
  • The move from audit universe to risk universe
  • How to define audit engagements to address the risks that matter
  • When to perform assurance and when to perform consulting engagements
  • The challenge of reporting when there are multiple audits
  • Do you only perform audits where you have experience?
  • Balancing the budget
  • Management requests
  • Other audit engagements, including fraud investigations
  • Assurance at the speed of the business
  • Risk monitoring
  • Agile, dynamic audit planning
  • Using the organization’s ERM program
  • Building and maintaining the audit plan
  • Annual or rolling audit plans
  • Review
  • Discussion

Meet Your Instructor

Norman Marks
Evangelist for Better Run Business and Mentor in Internal Auditing, Risk Management and Corporate Governance

Norman Marks CPA, CRMA has been Chief Audit Executive of major global corporations for over 20 years, and is one of the most highly regarded thought leaders in the global profession of internal auditing. He has been profiled as an innovative and successful internal auditing leader, and is a Fellow of the Open Compliance and Ethics Group and an Honorary Fellow of the Institute of Risk Management. Norman has been a motivational keynote speaker at conferences around the world. In addition, he is a prolific blogger about internal audit, risk management, governance, and compliance.

Norman has written multiple award-winning articles for the Internal Auditor magazine and is the author of the IIA’s best-selling Management’s Guide to Sarbanes-Oxley Section 404: Maximize Value Within Your Organization.

Interview with
Norman Marks, Evangelist for Better Run Business

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Local Attraction

Griffith Observatory is an icon of Los Angeles, a national leader in public astronomy, a beloved civic gathering place, and one of southern California's most popular attractions. The Observatory is located on the southern slope of Mount Hollywood in Griffith Park, just above the Los Feliz neighborhood. It is 1,134 feet above sea level and is visible from many parts of the Los Angeles basin.

Universal Studios Hollywood is a movie studio and theme park in the Los Angeles County, California, United States. It is one of the oldest and most famous Hollywood movie studios still in use. Its official marketing headline is "The Entertainment Capital of LA", though during the summer it is often advertised as "The Coolest Place in LA. It is the first of many full-fledged Universal Studios Theme Parks located across the world.

The Los Angeles County Museum of Art (LACMA) is the largest art museum in the western United States. It attracts nearly a million visitors annually. Its holdings of more than 100,000 works span the history of art from ancient times to the present. In addition to art exhibits, the museum features film and concert series.

Beverly Center Shopping Mall is a large indoor shopping center located near Beverly Hills. Beverly Center is Southern California's premier fashion destination with over 100 distinctive specialty boutiques reflecting the diverse styles and tastes of Los Angeles. The Center is anchored by Bloomingdale’s, Macy’s and the upscale dining destination, The Capital Grille.

Venice Beach is a seaside neighborhood of Los Angeles. Named for its series of canals, Venice is known as a haven for creative types. It is famous for its bohemian boardwalk and for the eclectic Abbot Kinney Blvd. Venice Beach include the beach, the promenade that runs parallel to the beach (“Ocean Front Walk” or just “the boardwalk”), Muscle Beach, the handball courts, the paddle tennis courts, Skate Dancing plaza, the numerous beach volleyball courts, the bike trail and the businesses and residences that have their addresses on Ocean Front Walk.

The Los Angeles Zoo and Botanical Gardens is located in Los Angeles Griffith Park. The Zoo is home to more than 1,100 mammals, birds, amphibians and reptiles representing more than 250 different species of which 29 are endangered. In addition, the Zoo’s botanical collection comprises several planted gardens and over 800 different plant species with over 7,400 individual plants. The Zoo receives over 1.5 million visitors per year.

Staples Center is a multi-purpose sports arena in Los Angeles. It is one of the major sporting facilities in the Greater Los Angeles Area. The arena is home to the Los Angeles Lakers and the Los Angeles Clippers of the National Basketball Association (NBA), the Los Angeles Kings of the National Hockey League (NHL), and the Los Angeles Sparks of the Women's National Basketball Association (WNBA).

The Watts Towers are a complex set of 17 separate sculptural pieces built on a residential lot in the community of Watts. Two of the towers rise to a height of nearly 100 feet. The Watts Towers are one of only nine works of folk art listed on the National Register of Historic Places. The site is one of only four US National Historic Landmarks in the city of Los Angeles.

The Center houses a comprehensive collection of Western art from medieval times to the present, with particular strengths in alchemical texts, Italian futurism, Russian Modernism, Japanese avant-garde art and artists’ letters and sketchbooks throughout the ages. The Center’s campus features numerous garden spaces, fountains and pools as well as outdoor sculptures. The center draws 1.3 million visitors annually.

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