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The Institute of Internal Auditors North AmericaBreadcrumb SeparatorCertificationBreadcrumb SeparatorCFSA CertificationBreadcrumb SeparatorExam Syllabus Domain 3
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Certified Financial Services Auditor® (CFSA®) Exam Syllabus — Domain III

Auditing Financial Service Processes (25-35%)

(P) = Candidates must exhibit proficiency (thorough understanding, ability to apply concepts) in these topic areas.

(A) = Candidates must exhibit awareness (knowledge of terminology and fundamentals) in these topic areas.

A. Risk Management (A)

  1. Asset/Liability Management
  2. Trading Market Risk
  3. Credit, Liquidity, Operational Risk
  4. Allowance for Loan and Lease Losses
  5. Reserves

B. Underwriting (A)

  1. Loans
  2. Securities
  3. Insurance
  4. Private Placement
  5. Initial Public Offerings

C. Securitizations (A)

D. Treasury Operations (e.g., Cash Management) (A)

E. Back-office Operations (A)

F. Marketing Sales and Distribution (e.g., Insurance Agencies, Bank Branches, Brokers) (A)

G. Claims (A)

H. Investments (A)

I. Broker/Dealer Activities (A)

J. Rating Advisory Service (A)

K. Mergers and Acquisitions (A)

L. Loan Operations (e.g., Collateral Issues, Perfecting Liens) (A)

Candidates from the following countries must refer to their local IIA Institute web-site or contact their local representative for more information about local certification processes:


The information contained on this website pertains to all other countries.

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