Risk Compliance Matrix for Internal Audit and SOX Operations - Active and Engaged Risk Management Activities

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.

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