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Auditor-in-charge Tools and Techniques

Course Description

Print-friendly Course Description and Outline, 4-day Course
Print-friendly Course Description and Outline, 3-day Course

NOTE: A condensed, 3-day, 24 CPE version of this course is being offered in Seattle, WA. The alternate 3-day course outline is provided above.

​Leading an audit team not only requires a great deal of knowledge, it also requires dedication, efficiency, and effective leadership skills. Audit leaders today need to know how to run a team properly so that every project runs smoothly. In other words, they need the skills to lead with confidence.

Whether you are a recently promoted auditor-in-charge, assuming the role, or seeking a refresher, this informative session covers the organizational, time management and problem solving skills necessary to manage a successful team. Through the use of a case study that is woven into the course, participants will learn about the roles and responsibilities of an auditor-in-charge for the phases of an internal audit. 

Course Duration: 4 day(s)
CPE Hours Available: 32
Knowledge Level: Intermediate
Field of Study: Auditing
Advance Preparation: 
Delivery Format: On-site Training (Group-Live); Seminar (Group-Live)

​IPPF for the Auditor-in-charge

  • Apply IPPF Standards to the role of the auditor-in-charge (AIC).
  • Recall the core elements of the IPPF.
  • Recognize how the IPPF Standards relate to the AIC role.

The Role of the Auditor-in-charge

  •  Demonstrate the qualities required to be an effective auditor-in-charge.
  • Contrast the roles of AIC and staff auditor.
  • Identify the responsibilities of an AIC.
  • Identify leadership qualities desired in a leader.
  • Recall the knowledge and skills required of an AIC.

Meet Bob Brown

  • Discuss the Fletcher Corp. case study background.
  • Compare the Fletcher Corp. audit department with yours.
  • Discuss Bob Brown’s assignment.
  • Determine how Elaine’s additional info helps Bob with his assignment.

Planning the Audit

  • Plan an audit as an AIC.
  • Identify the IPPF audit planning standards.
  • Discuss the importance of audit planning.
  • Identify the questions answered by the preliminary survey, what the preliminary survey should identify, and how to assess control effectiveness.
  • Identify computer-based audit tools and how they are implemented and audit planning guidelines for information technology.
  • Identify the responsibilities of auditors toward fraud prevention and detection, and control environment elements.
  • List the general and application controls reviewed in an audit.
  • Explain the importance of the planning memo.

Audit Programs and Staffing

  • Develop an audit program and staffing plan.
  • Determine whether audit objectives and resulting scope are properly defined.
  • Indicate whether audit program steps are stated in a manner that is clear, provide guidance, and contribute to meeting the audit objectives.
  • Assess staffing assignments.

Audit Supervision

  • Apply AIC project management skills, supervise staff, and control the audit process.
  • Describe the methods AICs can use to maintain effective control over audits.
  • Discuss strategies for resolving conflicts.
  • Discuss how to avoid control problems.
  • Determine the nature of supervisory or audit control problems.
  • Describe the three steps to audit control.

Reviewing Workpapers

  • Review workpapers for completion of audit steps and proper format.
  • Identify IPPF Standards relevant to reviewing workpapers.
  • Describe the objectives for workpaper reviews.

Audit Concerns and Reports

  • Demonstrate quality control and review responsibilities for the AIC role.
  • Describe the AIC’s role in reviewing/evaluating audit concerns.
  • Determine the best approach for managing client reactions to concerns.
  • Identify IPPF guidance related to communication of audit concerns.
  • Review records of audit concerns to determine whether they have been prepared properly.
  • Develop a strategy for presenting audit concerns.

The Exit Conference

  • Conduct an effective exit conference based on tips for success.
  • Describe roles and responsibilities for the exit conference.
  • Identify the functions of the exit conference.
  • Describe elements for consideration during planning for an exit conference.
  • Plan an exit conference.
  • Evaluate the success of an exit conference.

Wrapping Up the Audit

  • Summarize necessary tasks to conclude an audit.
  • Describe tasks involved in concluding an audit.
  • Evaluate management responses to an audit.

Appraising Staff Performance

  • Conduct a performance appraisal.
  • Discuss performance appraisal standards.
  • Discuss factors influencing performance appraisals.
  • Assess a performance appraisal.
  • Plan a performance appraisal.
  • Conduct a performance appraisal. 

​Most courses can be delivered through on-site training. You might be surprised that the organization leading the profession is just as committed to the delivery of affordable training.

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