Course Information
Work Programs - Developing Results-Driven Audit Programs
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
Developing an audit work program can be a daunting process, especially when the specific audit area is unfamiliar or has not been audited previously. An effective audit program specifies who is responsible for the work, what is the purpose of the work, and how the work will be accomplished—all while allowing for flexibility. This course will provide participants with an approach that eliminates many of the assumptions, guesses, and pain points associated with audit planning. It will provide a foundation for developing audit programs and steps based on business objectives and the tools and techniques required to gather the evidence needed to achieve audit objectives while staying in scope. Less-experienced auditors will learn how to build the audit program, and experienced auditors will have an opportunity to refresh their skill set and master the Closing the Loop Framework as a tool for improving audit quality. Participants will have the opportunity to build components of an audit program during class exercises.
Course Objectives
Upon completion of this course, participants will be able to:
• Learn to develop a targeted and focused audit program that can be efficiently executed
• Understand the importance of proper planning
• Learn tools and techniques for planning and executing an audit program
• Develop interviewing and communication skills
• Strengthen skills for developing audit steps and audit work programs
• Understand the importance of proper scoping and learn scoping tools and methodologies
• Compare, contrast, and understand various testing approaches and methodologies
Prerequisites
No prerequisites required.
YB 4.23(q)
Instructors
Tony is the Director of International Audit transformations for Verracy, formerly Verracy Training & Consulting.
Tony has more than 20 years of professional accounting, audit, risk, compliance and investigative experience – all in numerous roles with multi-national companies. He has specialized in Designing, Developing / Transforming and Overseeing the execution of the Governance, Risk Management, Compliance, Internal Audit, and Investigation functions at numerous diversified multi-national companies. In addition, he has also worked in Mergers & Acquisitions, Crisis & Security Management, and SOX implementation.
Mr. Joy’s experience includes numerous projects in Emerging Markets, particularly China, India, Eastern Europe / Russia, Brazil and the Middle-East.
He is a Guest Instructor, with the Institute of Internal Auditors (IIA), and has presented on numerous occasions for the MIS Training Institute on a variety of topics related to internal audit, internal controls, compliance and investigations.
He received his Bachelor degree from Baldwin-Wallace College and is a veteran of the United States Marine Corps. He is a member of the Dayton, Ohio, chapter of The Institute of Internal Auditors, is a CPA and a Certified Fraud Examiner (CFE) and a member of the American Institute of Certified Public Accountants, the Ohio Society of CPAs, and the Association of Certified Fraud Examiners.
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.