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Description

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The Complete Guide to Internal Controls

The New Global Internal Audit Standards – Implementation Challenges

New in Internal Audit

Course title

Description

Duration 

Root Cause Analysis in Internal Audit

Root Cause Analysis (RCA) is a vital problem-solving approach aimed at uncovering the underlying reasons behind issues or incidents, essential for preventing problems from recurring and improving organizational processes.

Root Cause Analysis (RCA) is an essential problem-solving approach designed to uncover the underlying reasons behind issues or incidents. This course aims to equip participants with the knowledge and tools necessary to prevent recurring problems and improve organizational processes. Through a combination of theoretical concepts, practical tools, and real-world case studies, this course offers a comprehensive understanding of RCA and its application in various contexts.

1 – 3 days

Auditing Procurement & Sourcing Processes

This Procurement Audit Training provides participants with a deep understanding of procurement processes, procurement risks, and audit methodologies. The course covers key procurement functions, including the Procurement-to-Payment (P2P) cycle, tendering, and contract management, with a special focus on large-scale construction and capital procurement. It also explores procurement fraud detection, forensic tools, and common measures to ensure compliance and risk mitigation.

Participants will gain hands-on experience through real-world case studies, practical exercises, and discussions on procurement audit best practices. The training will enhance their ability to conduct risk-based procurement audits, analyze vendor due diligence, and communicate audit findings effectively. By the end of the course, attendees will be equipped with the skills to improve procurement oversight, strengthen internal controls, and ensure transparency and efficiency in procurement operations.

1 – 3 days

Risk-Based Audit Planning

In this in-depth course, participants will develop a strong understanding of risk-based audit planning—a critical element of organizational governance and risk management. The process includes how to establish a sound audit universe, how to perform an effective risk and control assessment to how to schedule resources and draft and communicate the audit plan to the board. By combining practical exercises, real-world case studies, and theoretical insights, participants will learn how to establish an effective audit universe, assess risks, and develop a comprehensive audit plan that aligns with organizational goals and enhances overall resilience.

1 – 3 days

Fraud Detection in Accounting, Procurement, Treasury and HR

The Fraud Detection in Accounting, Procurement, Treasury and HR course offers a deep dive into identifying and mitigating fraud risks within these critical business functions. Participants will explore common fraud schemes such as financial statement manipulation, procurement fraud, payroll fraud, and expense reimbursement schemes. The course focuses on red flags, internal controls, and investigative techniques to detect suspicious activity early and prevent financial losses. Through real-world case studies and practical tools, attendees will gain the skills necessary to strengthen their organization’s defenses against fraud in accounting, procurement, and human resources.

1 – 3 days

Audit Report Writing (includes Use of Artificial Intelligence)

This course equips participants with essential skills to craft impactful internal audit reports, emphasizing the importance of effective communication throughout the audit process. Participants will learn strategies for structuring reports to ensure clarity and relevance for diverse audiences, tailoring their content to meet the needs of various stakeholders, from executives to operational staff. Through practical exercises and case studies, attendees will explore techniques for adapting their writing style and content accordingly. Additionally, the course highlights the use of AI tools like ChatGPT to enhance report writing efficiency and effectiveness, enabling participants to generate insightful observations and actionable recommendations while maintaining quality and accuracy in the audit process.

1 – 3 days

Effective Follow-up of Audit Recommendations

The course, “Effective Follow-up of Audit Recommendations,” offers a comprehensive overview of the follow-up process, guiding participants from fundamental concepts to establishing structured procedures and effectively communicating results. Attendees will learn to design and implement effective follow-up strategies, leverage modern IT tools, and cultivate a culture of continuous improvement, ensuring that audit recommendations translate into tangible and sustainable enhancements within their organizations.

1 – 3 days

Internal Audit and Compliance – separate or together?

This course provides a comprehensive understanding of the distinct yet interrelated roles of internal audit and compliance within an organization. Participants will explore the similarities and differences between these two critical functions, equipping them with the knowledge to effectively integrate both into their organizational frameworks. The course includes interactive discussions, case studies, and practical exercises to reinforce learning and application in real-world scenarios.

1 – 3 days

Engagement Planning and Work Programme Development

This intensive course provides internal auditors with a structured, practical approach to engagement planning and the development of effective audit work programs. Participants will learn how to translate the audit universe and risk assessment results into well-defined audit objectives, scope, and procedures. The course emphasizes risk-based thinking, ensuring that audit efforts are focused on areas that matter most and align with organizational priorities. Through clear frameworks and examples, attendees will understand how to design audit engagements that are both efficient and impactful.

1 – 3 days

Shadow Processes and Control Workarounds – when auditees avoid controls

This course explores the concept of the “hidden organization”—the shadow processes, workarounds, and informal systems that operate alongside official business processes. Participants will learn why these practices emerge in every organization, often driven by efficiency pressures, system limitations, and cultural factors, and how employees naturally prioritize speed and practicality over formal compliance. The course highlights how a significant portion of “real work” is often executed outside formal systems, creating a gap between documented processes and actual operational reality.

1 – 3 days

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Description

Duration

“Organizational Behavior” –  Topical Requirements (NEW)

Auditing organizational behavior provides a structured approach to assessing whether an organization’s stated values align with actual behaviors. Internal auditors play a crucial role in identifying cultural strengths and weaknesses, offering insights into leadership tone, employee engagement, and ethical decision-making. This course will equip participants with the tools and techniques needed to evaluate organizational culture, address cultural misalignments, and provide actionable recommendations that strengthen governance and risk management.

1 – 3 days

“Third Party” –  Topical Requirements (NEW)

Third-Party Risk Topical Requirements establish a structured framework for internal auditors to assess governance, risk management, and control processes across the complete third-party lifecycle. The course provides a practitioner-focused examination of the 17 baseline requirements covering governance, risk management, and controls, and explains how these requirements affect audit planning, execution, documentation, and quality assessment conformance.

1 – 3 days

“Organizational Resilience” –  Topical Requirements (NEW)

The IIA’s Organizational Resilience Topical Requirement makes resilience assessment a defined part of internal audit practice. When organizational resilience is the subject of an assurance engagement—whether planned, requested, or identified during other work—internal auditors must assess specified aspects of governance, risk management, and control processes. This interactive workshop equips internal audit teams to implement the requirement successfully in a risk-based, proportionate, and defensible way.

1 – 3 days

Agile Auditing in Practice – A Step-by-Step Implementation Workshop (NEW)

This course equips internal auditors with the knowledge and tools to apply Agile principles across the audit lifecycle—from planning to execution and reporting. Participants will learn how Agile auditing differs from traditional approaches and how to build flexible, value-driven audit plans that adapt to changing risks and priorities.

Through practical exercises and real-world case studies, attendees will simulate audit sprints, draft Agile audit backlogs, and develop concise, iterative reports. By the end of the course, participants will be ready to implement Agile practices that improve audit efficiency, stakeholder collaboration, and overall audit impact.

1 – 3 days

Crafting an Internal Audit Strategy: Navigating the Next 3-5 Years (NEW)

To successfully navigate the future, internal auditors must craft long-term strategies that anticipate emerging risks, align with organizational goals, and drive sustainable audit success. Using the latest trends in risk management, technology, and governance, this course will guide you through the steps of developing a 3-5 year audit strategy. You will learn how to forecast future risks, align audit activities with strategic business priorities, and ensure continuous improvement in audit performance.

1 – 3 days

Critical Thinking: Strategies to Overcome Audit Bias  (NEW)

Auditors are expected to exercise professional skepticism and objectivity, yet unconscious bias and flawed assumptions can subtly influence audit judgments. This course explores how critical thinking skills can be applied to identify, challenge, and minimize bias in the audit process. Participants will learn how different types of bias manifest in auditing, from confirmation bias to anchoring and overconfidence, and how these can undermine audit quality and independence. Through practical examples, interactive discussions, and structured techniques, this program provides auditors with tools to strengthen their decision-making and ensure balanced, evidence-based conclusions.

1 – 3 days

Effective Leadership – Empowering Audit Teams for Excellence

Effective audit leadership is about creating an environment where team members feel empowered, challenged, and supported to perform at their best. Leaders who focus on amplifying the strengths of their teams—rather than simply directing or controlling—can unlock greater innovation, accountability, and engagement. By fostering open dialogue, encouraging ownership, and investing in team development, audit leaders build resilient teams capable of navigating complex regulatory landscapes and delivering high-impact results.

1 – 3 days

Quality Management in Internal Audit: Tools and Measures for Building Excellence

The “Quality Management in Internal Audit” workshop provides internal auditors with the tools and methodologies necessary to meet the new Global Internal Audit Standards effective in 2025. This course focuses on implementing robust quality assessment practices, developing effective performance measures, and fostering excellence within internal audit functions. Through practical exercises and discussions, participants will gain insights into aligning internal audit activities with organizational objectives and global compliance requirements.

1 – 3 days

Audit Roles in ESG

This course provides an overview of ESG elements and equips auditors with the knowledge and tools to assess ESG risks, verify disclosures, and align audit practices with key frameworks such as GRI, SASB, TCFD and the EU CSRD (Corporate Sustainability Reporting Directive). Through case studies and practical exercises, participants will learn how to integrate ESG into governance and risk processes, conduct ESG audits effectively, and enhance corporate sustainability reporting.

1 – 3 days

Course title

Description

Duration

Managing and Preventing Conflicts in Audit – Communication, Mediation and Diplomacy

This course explores the essential role of mediation in the auditing process, equipping auditors with the skills to navigate resistance and foster collaboration. The course begins with an introduction to mediation principles, emphasizing their importance in building trust and rapport while maintaining neutrality. Participants will learn to identify sources of resistance, implement techniques to overcome it, and engage in practical exercises, including role-playing scenarios. The curriculum covers the definition and role of a mediator, highlighting the impact of neutrality and the mediator’s code of conduct. Key skills such as active listening, effective communication, and conflict resolution techniques are developed, alongside strategies for using neutral language. Additionally, the course delves into empathy in auditing, collaborative problem-solving, and the power of diplomacy.

1 – 3 days

Audit Talks That Make an Impact – Communicating at Eye Level with Management & the Audit Committee

This course develops core communication competencies for internal auditors focusing on effective communication during audit planning and fieldwork, the structure and audience-adapted presentation of audit findings, and the professional handling of interactions with management and the audit committee.

The Auditor as a WIN-WIN Maker:

·       A – Appearance: calm, objective, confident

·       U – Uncertainties: anticipate, address, and resolve them early

·       D – Directness: clear, solution-oriented communication

·       I – Integrity: cooperative, engaged, and partnership-oriented toward management and the audit committee

·       T – Transparency & Transfer: clear, understandable, and traceable communication

·       O – Order: structured thinking and clear argumentation

·       R – Respect: for both people and responsibilities

In addition, participants reflect on practical instant phrases, checklists, and communication frameworks. The objective is to increase the effectiveness of audits and strengthen the role as a competent and trusted business partner.

1-3 days

Effective Controls in Treasury Operations

This course offers a comprehensive overview of treasury operations, focusing on key aspects such as segregation of duties between front, middle and back office in treasury operations, and the implementation of controls across different functional areas. Participants will gain insights into the critical role of the front, middle and back office, as well as the importance of effective control and compliance measures in ensuring operational integrity and financial stability.

1 – 3 days

Governance Principles for Banks

This course on Governance Principles for Banks delves into the essential frameworks outlined by the Basel Committee on Banking Supervision (BCBS), focusing on the governance structures and practices critical for effective risk management and operational oversight in banks including the role of Compliance, Risk Management and Internal Audit. Participants will explore key principles such as board responsibilities, risk governance, control mechanisms, and transparency, all designed to enhance financial stability and resilience. The review of the Four Lines of Defence Model will shed light on the interaction between external, internal audit and financial regulators.

1 – 3 days

Introduction to Basel IV

This course on Introduction to Basel III.1 provides a foundational understanding of the Basel III framework and its significance in strengthening global bank capital standards and risk management practices. Participants will explore the key components of Basel III.1, including capital adequacy, liquidity requirements, and leverage ratios, along with the framework’s objectives to enhance the banking sector’s resilience against financial crises. Through engaging discussions and practical examples, attendees will gain insights into the implications of Basel III for banks and financial institutions, equipping them with the knowledge to navigate the evolving regulatory landscape and contribute to their organization’s compliance efforts.

1 – 3 days

Auditing Basel IV framework

This course provides a focused overview of the Basel IV framework and its implications for internal audit. Participants will explore key updates, including credit risk, operational risk, and output floor requirements.

The course emphasizes how auditors assess controls over capital adequacy, RWA calculations, and regulatory reporting. Through practical insights, attendees will gain the knowledge needed to evaluate compliance and strengthen audit assurance in line with evolving regulatory expectations.

1 – 3 days

Risk Management Failures in Banks

This course explores the pinnacles of a sound risk management framework in banking, examining past incidents where such frameworks failed. Participants will learn from real-world cases, including rogue trading scandals and the 2008 financial crisis, as well as near-banking defaults. The course highlights key lessons learned and offers strategies to help banks avoid similar pitfalls in the future.

1 – 3 days

Auditing Financial Products: Risks and Controls

This course provides auditors with the tools and techniques to evaluate the risks and controls associated with a variety of financial products. Participants will examine products such as derivatives, bonds, equities, FX products  , and structured products. The course covers how to identify key risks like market volatility, credit risk, and liquidity risk, and the effective controls needed to mitigate them. Through practical examples, participants will enhance their ability to audit complex financial instruments and ensure compliance with regulatory standards.

2 – 3 days

Principles for Sound Operational Risk Framework under Basel Framework

This course provides an overview of the Basel IV principles for establishing a robust operational risk management framework in banks. Participants will explore key requirements related to governance, risk identification, assessment, monitoring, and reporting of operational risk.

The course also focuses on how internal audit can evaluate the effectiveness of operational risk frameworks, including controls, data quality, and risk governance structures. Through practical insights, attendees will gain the knowledge needed to assess compliance with Basel IV expectations and strengthen operational risk oversight.

1 – 3 days

Anti-Money Laundering (AML) and Combating Financing of Terrorism (CFT) 

This AML and CFT Compliance Training provides participants with a comprehensive understanding of Anti-Money Laundering (AML) and Countering the Financing of Terrorism (CFT) regulations, focusing on the Financial Action Task Force (FATF) guidelines and global frameworks. The course covers essential compliance requirements, risk-based approaches, and practical methodologies for detecting and preventing financial crimes. Participants will explore key regulations, including the FATF’s 40 Recommendations, EU AML Directives, Basel Committee guidance. Real-world case studies on major AML failures (e.g., HSBC, Danske Bank, 1MDB) will be examined to highlight compliance gaps and lessons learned.

Through interactive discussions and case-based learning, attendees will develop expertise in risk-based customer due diligence (CDD), identifying politically exposed persons (PEPs), transaction monitoring, suspicious activity reporting (SARs), and forensic investigation techniques. The training also explores emerging risks, including cryptocurrency regulations, artificial intelligence in AML.

1 – 3 days

Principles for Effective Risk Data Aggregation and Risk Reporting (BCBS 239)

This course provides an overview of BCBS 239 and its key requirements for risk data aggregation and reporting in banks. Participants will explore the principles for strong data governance, IT architecture, accuracy, completeness, and timeliness of risk data.

The course also focuses on how internal audit can assess compliance with BCBS 239, including data lineage, reporting controls, and governance frameworks. Through practical insights, attendees will gain the knowledge needed to evaluate risk data capabilities and support stronger regulatory compliance and decision-making.

1 – 2 days

Understanding MiCAR: EU Crypto Asset Regulation Explained

This course provides a practical understanding of the EU’s Markets in Crypto-Assets Regulation (MiCA/MiCAR), including regulatory scope, crypto-asset classifications, authorization requirements, governance expectations, investor protection measures, and the implications for financial institutions and crypto-asset service providers (CASPs). Participants will also examine implementation challenges, compliance risks, and supervisory expectations within the EU framework. MiCA creates a harmonized regulatory framework across the EU for crypto-assets and crypto service providers.

½-1  day

Crypto Asset Regulation: Basel IV and Key Global Regulatory Developments

This course provides participants with a practical understanding of the evolving regulatory landscape for crypto assets and their impact on financial institutions. Participants will examine international standards issued by the Basel Committee and compare major regulatory approaches across jurisdictions, including the European Union, United Kingdom, United States, and Singapore. The programme also addresses key implementation challenges for banks, risk managers, compliance functions, and internal auditors.

1  day

Ethics and Misconduct in Financial Services( 2 CPE Ethics)

This course provides participants with a comprehensive understanding of conduct risk, its behavioural drivers, and its financial and regulatory consequences. Participants will examine how misconduct occurs, how it impacts capital requirements, and how institutions can strengthen governance frameworks to prevent conduct failures. The course also explores major benchmark manipulation cases and regulatory reforms designed to improve market integrity.

2 hours (2 CPE – Ethics)