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Continuous GRC

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Date(s): Jul 12, 2021 - Jul 13, 2021
Time: 8:00AM - 12:00PM
Registration Fee: $239.00
Cancellation Date: Jul 05, 2021
Location: Online

Course Description

Continuous auditing has changed the internal auditing paradigm from periodic reviews of a small sample of transactions to ongoing audit testing of volumes of transactions. This seminar focuses on identifying what must be done to make effective use of information technology in support of continuous auditing.

This timely, one-day seminar is designed for internal audit management, compliance managers, controllers, CFOs and others who have to create value within the internal audit function.

 


Potential CPE Credits: 8.0
Govt Hours: This class meets 8.0 hours of the 24-hour requirement for governmental CPE under Government Auditing Standards (yellow book), in most cases.
Technical Hours: This class meets 8.0 CPE credits of technical training in compliance with Texas Admin. Code Rule 523.102.

Instruction Type: Live
Experience Level: BEGINNING
Category: 02 Auditing

Course Objectives

Behavioral Objectives:

         General overview of the concepts of continuous auditing and monitoring, including key terms

         How to optimize usage of CA and CM in internal audit departments

         Use of CA/CM to deter fraud

 

                                     I.             Introduction

                                    II.            What is CGRC and CA/CM and Types

a.       Data Analytics

b.       Continuous Monitoring

c.       Continuous Auditing

d.       Continuous Risk Assessment

e.       Continuous Controls Monitoring

f.        Data Warehousing

g.       Data Mining

h.       Fraud Detection Tool

                                  III.            Controls Monitoring/COSO Overview

                                 IV.            How to Use CA/CM in Your Organization

a.       Benefits

b.       Meta Control

c.       Where to Apply Data Analytics

d.       Generic Continuous Auditing Approach

e.       Data Analytics Opportunities

                                   V.            Benford’s Law
Using CA/CM to Detect Fraud

                                 VI.            Fraud Red Flags

                               VII.             Comprehensive Example Using ACL

 


Prerequisites

No prerequisites required.

Government Hours: 4.23(p)


Instructors

Tali Ploetz

Tali Ploetz is an industry recognized expert in Governance, Risk, Internal Audit, Fraud and Compliance.  Her personal mission is to provide practical training and advice designed to strengthen team member skillsets and improve corporate internal control environments to ultimately prevent issues / internal control breakdowns.

 

GoldSRD clients will benefit from her executive perspective, which provides a strong foundation geared specifically toward moving risk, compliance and internal audit team members to the next level.

 

         Experienced financial services executive leader

         Director for multiple for and non-profit Boards of Directors

         Experienced negotiator with federal examiners

         Recognized IIA All-Star Conference speaker

         Keynote speaker / master of ceremonies (emcee)

          

Ms. Ploetz has more than 27 years of financial services industry experience.  Most notably as:

         Chief Compliance Officer for Think Finance

         SVP Enterprise Risk Management at Santander Consumer USA

         VP of Operations Audit, General Motors Financial Company

         VP of Internal Audit for Bank One, NA

 

Ms. Ploetz maintains multiple certifications: Certified Public Accountant, Certified Internal Auditor, Certified Fraud Examiner, and Certified Regulatory Compliance Manager and Certified Treasury Professional. She’s a graduate from University of Texas at Arlington with dual degrees in Accounting and Marketing.


Additional Information

TAC Rule 523.142(g) requires the CPE Sponsor to monitor individual attendance and assign the correct number of CPE credits. Participants will be asked to document their time of arrival and departure in compliance with this Rule. Additionally, attendance will be monitored throughout the day and CPE certificates will reflect actual attendance of each participant.

If you are making travel plans to come to Austin, we recommend making "refundable" air and hotel reservations or waiting until 14 days before the class to actually book your reservations. Courses are occasionally canceled or rescheduled due to low enrollment. We determine whether a course has enough participants 16 days prior to the course date. If we cancel or reschedule, we will email the participant and his or her billing contact no later than 14 days before the original class date.

The course coordinator will contact you with parking information. Handicapped parking is free at the meters around the downtown area.

Vending machines with Coca-Cola products and various snack items are available. There is also a refrigerator and microwave in our coffee bar area. Feel free to bring in your own drinks and food if you prefer.

You might want to bring a light sweater or jacket, as room temperatures vary.

To see answers to our Frequently Asked Questions, visit http://www.sao.texas.gov/training/faq.html.


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