Course Information
Essential Communication Skills for Auditors
Parking for SAO, Professional Development courses is in Garage B (1511 San Jacinto Blvd.). The Garage signage may read 1511 San Jacinto or Garage B. The elevator in Garage B is not reliable. If you are unable to walk the stairs, please contact the professionaldevelopment@sao.texas.gov for alternate parking arrangements. Handicapped parking is free at the meters around the downtown area.
A course coordinator will Email you a parking permit prior to the course start date. A permit must be displayed or you will be ticketed.
Course Description
Internal Auditors spend most of their time communicating: speaking with clients, preparing information for distribution, and understanding information they have gathered. Good communication skills are essential for an auditor, and excellent communication skills will make auditors more effective and successful in their role. The course examines why effective communication skills are the foundation for credibility and success for auditors. This course will provide auditors with the communication skills needed in the many communication situations auditors face daily. Participants will gain an understanding of how different communication styles impact the way a message is presented and received and how to effectively navigate various communication formats. This interactive course will use lecture, group exercises, real-life case studies, and examples to help auditors develop and implement these communication skills in interviewing situations, meetings, conference calls, presentations, and report writing. Finally, the course will address how to effectively handle difficult situations and conflict. This course utilizes the DiSC Assessment to evaluate participants’ communications styles.
Course Objectives
Behavioral Objectives Upon completion of this course, participants will be able to:
Understanding the importance of credibility in audit
Communicating effectively with clients and stakeholders
Understand different communication styles
Becoming a skilled interviewer—developing an effective questioning and interviewing style
Developing skills for dealing with difficult people and situations
Tips, tools, and techniques for all communication formats
Learning what builds and develops credibility in communication and relationships
Detailed Course Outline Updated April 2020
Establishing Credibility
• Running Audit like a business
• Setting realistic expectations and consistently meeting them
• Owning and managing the responsibility of effective communication in audit relationships
• Evaluating all communication for “build” or “burn” regarding credibility
Communication Skills
• Listening | Body language | Tone and attitude
• Establishing rapport | Building relationships • Understanding your audience | Formal vs. informal
Communication Styles & DiSC Assessments
• Styles and types of communication
• Receiving and delivering messages from/to different communication styles
• Identifying behaviors and working with varying behaviors
Meetings and Informal Communication
• Email | Impromptu meetings | Phone calls
• Facilitating meetings | Agendas | Timing and location • Formalities—length, rescheduling, follow-up, timeliness
Interviewing and Questioning
• Understanding the business | Defining objectives and risks
• Types, styles, and progression of questions
• Language, terminology, and colloquialisms
• Dos and Don’ts of Interviewing | Note taking | Guides and questionnaires
Negotiating
• Characteristics of a negotiation
• People vs. problems | Understanding positions
• Identifying alternative solutions
Presentations & Reporting
• Determining presentation style for an audience
• Detailed vs. “Bottom-Line” and everything in between
• Visualization of data/information
• Presentations – Timing | Fear—tricks of the trade
• Organization of information—telling a story
• Getting to the point | 5Cs | Readability and conciseness
• Voice—active vs. passive | Audit “speak” and lingo
• Length and the use of appendices and attachments
• Reviewing and Editing
Challenges
• Difficult people and situations
• Conflict situations
• Audit findings
• Thinking on your feet
Prerequisites
No prerequisites required.
Instructors
C.I.A. QIAL, CRMA, CGAP, CFE
Auditor General – Metropolitan Transportation Authority
Responsible for the internal audit function for a company with an operating budget of over $15 billion and a capital program of $5 billion. Monitor budget of $10 million with a staff of 102 professionals. Responsibilities include providing audit coverage for MTA HQ and its’ Agencies consisting of NYC Transit, Long Island Railroad, Metro North, Bridges and Tunnels and MTA Bus, MTA Capital Corp. Develop a comprehensive risk based audit plan approach. Established internal Integrity Monitoring Audit Section, approved by the Federal Transportation Authority for Superstorm Sandy Federal Funds of over $4 Billion. Performed key consulting type engagements that included the development process of the MTA All Agency budget that totals more than $20 billion, establishment of quarterly financial statements and creation of the Business Service Center. Extensive knowledge of Sarbanes Oxley requirements and led numerous internal control assessment reviews. Identified savings of over $100 million annually. Conducted numerous quality assurance reviews of major transit properties in the U.S. Member MTA’s Executive Team. Report directly to the Chairman and Audit Committee of the MTA’s Board of Directors. Frequent speaker at auditing events on key current topics.
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.
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.