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Internal Auditing – Level 1

Course Information:

Online 12 hrs Flexible£1,750.00
In-House Agreed with client FlexiblePOA
London 5 days 7-Mar£3,500.00
London 5 days 06-Jun£3,500.00
London 5 days 28-Nov£3,500.00


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    LCT 2022 Brochure
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    Who should attend?

      Delegates who have some experience of auditing, either directly as an auditor or from within the financial services sector seeking to develop a professional and best practice approach to the development of the internal audit function in private and public sector organisations and enterprises.



      • Expand the role of the audit function in their organisation
      • Contribute effectively to organisational audit strategy and implementation
      • Engage continuous improvement and quality assessment within the organisation’s audit function
      • Present information effectively at the auditing committee and senior management
      • Embed new technology and financial crime controls into the audit function


    The Role and Function of Internal Audit

      • Review of key action points
      • Develop organisational specific risk matrices
      • Global best practice – case studies – lessons learned analysis
      • Key action points – delegate and manage action plan development

    Conducting Effective Audits

      • Pre-audit planning
      • Effective audit sampling techniques
      • Recording findings during auditing
      • Effective stakeholder engagement

    Audit Structures

      • The audit committee’s role
      • Developing the audit charter
      • The external auditor’s role
      • Developing and improving best practices

    Financial Crime Risks

      • Money laundering, terrorist financing and sanctions risks
      • AML controls
      • CTF controls
      • Sanctions controls – matches
      • Trade-based money laundering risks
      • Customer due diligence controls
      • Enhanced customer due diligence controls
      • Consideration of money laundering risks in practice evidenced by the organisation
      • Beneficial Ownership Transparency – individuals and entities
      • Testing operational efficiency v. financial crime risk prevention in practice
      • Training and awareness programmes

    Audit Report Writing

      • Ensuring objective comments
      • Ensuring use of constructive language
      • Financial crime compliance terms and abbreviations for internal auditors
      • Improvement recommendations
      • Continuous improvement techniques

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