Auditing for In-Charge Auditors


Auditing for In-Charge Auditors Overview
In this course, you will learn the skills, competencies, techniques and practices that an auditor in-charge applies when supervising an engagement. Coverage includes frameworks that are relevant to the execution of audits, the lifecycle of audits, the key activities in the phases of an audit (planning, fieldwork and reporting), and coverage of the technical and soft skills for success. Remember to take your Qualified Assessment within 365 days of your signing up for your AuditProTV subscription. Download your course files including articles, activities, and the answer key to the Review Questions under "Course Files."
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[MUSIC] Hello ladies and gentlemen, thank you for tuning in to auditing for In-Charge auditors. I'm going to be your host through this series. My name is Wes Bryan and I have a background in technical training including things like computing concepts, as well as networking communications and cybersecurity. And we wanna take a little bit of time just to tell you what you can expect. Now, you're not here for me, you're here for Dr. Hernan Murdock. And he is going to be our subject matter expert through this journey. Doctor, thank you and welcome. Can you tell the listeners a little bit about yourself? Glad to be here. Thank you so much. Yes, this is an exciting class and I bring to this a lot of my experience. I've been an internal auditor for over 20 years. And I've worked in industry, I've worked for professional service organizations. I have worked with clients in many industries from manufacturing, transportation, telecom, financial services utilities. I've done it in United States and abroad. So the role of the In-Charge is very significant, and a lot of the success hinges on their ability to do what needs to be done. I've served in that capacity over many times. And I'd like to share some of my experiences with the group. That's great, sounds really exciting. Now our learners as they go through this journey with us, what are some things that or maybe something that they expect to get out of watching this course? So a lot of their role entails management and leadership. And that applies to the whole lifecycle of an audit. So, they need to understand some of the dynamics impacting their profession in general, and then take a closer look at what happens on a typical audit or project. So you're looking at the risk assessment phase, the planning, fieldwork, reporting, fraud considerations, and a big one is productivity. So, how do we make sure that the work that we plan to do actually gets done, and that we can basically add value to your clients? And they are looking for the In-Charge to lead this. So, from that perspective they are the ones who are coordinating a lot of the work, and we want to give them the skills they need to be able to do a good job. What a great value add. Now, let's talk just briefly for how it's structured. How is the course structured to help our learners succeed? Yes so, start by looking at some audit concepts and changing control environment. What's happening in our world, and what things we need to keep in mind that are putting pressure on internal auditors and compliance professionals to basically do risk based audits and to add value to our clients. We're looking then at the In-Charge's perspective. You're kind of the point person that is going to then take those plans that we put together for that engagement, and it's going to help mobilize the team to get the work done within the timeframe, within the scope and the resources we have. Also keeping in mind the importance of quality in everything we do. They need to do a risk assessment, go through the entire phase, process of engagement. So from planning, fieldwork, reporting, what do you need to do? How do you do it? And how you keep that team moving forward. Communication's very important there as well. And making sure that we're productive. So efficiency and effectiveness throughout. Very good. Now, if you could tell our learners, why are you excited about the course? Me personally, I like to learn a little bit more about things like fraud, risk assessment and risk assessment in general. What excites you about this course? I'm very excited because the In-Charge is the person that makes a lot of the ideas come through. They really mobilize the team. They're the ones on the ground. So, from that perspective, we can have a great program. But that's just a planning document. We have these ideas of what we would like to do. But then we have to execute, we have to deliver. So from that perspective, the In-Charge has a very unique role as a manager and as a leader in helping the team do the work that needs to be done, and make sure that quality is is there. Providing that communicating link between the team members, the client and within audit management as well. So they provide the linkages that are going to allow these ideas to turn into the procedures that we're going to perform, their reporting and that aftermath communication that goes to the board that is expecting to hear, so what became of that review? All right, ladies and gentlemen, there you have it. So join us as we dive into auditing for In-Charge auditors. [MUSIC] [BLANK_AUDIO]

Learning Style

On Demand





Who this course is for

Financial, Operational, Information Technology, and External Auditors.

NASBA Certified CPE

24 credits

Field of Study


Length of course



Fundamentals of Internal Auditing
or equivalent experience

Advanced Preparation

45 Episodes

Here are the topics we'll cover

  • Overview
  • Control Environment
  • Audit Process
  • Fieldwork and Program Development
  • Risk Assessment Strategies
  • Fraud Awareness
  • Communication
  • Marketing Internal Audit
  • Audit Project Management
  • Productivity
Learning Options

Options for this course

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ACI Learning is registered with NASBA

ACI Learning is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: