Auditing Asset Management - OAP380

Overview

This course includes how to best review the risks and considers the best approaches when auditing these activities. This comprehensive course explains the key objectives from Know Your Customer (KYC) to a close review of stress testing, equity, fixed income, alternative, money market, asset allocation, pensions, and counterparties. Multiple case studies are used to practice the concepts learned and prepare audit programs tailored to your organization’s characteristics.

 

Learning Options

Below are the available learning options for this course:

AuditProTV

Online On-Demand

This course is available through AuditProTV — a subscription-based, on-demand learning platform. As a subscriber, you will have access to an ‘all you can watch’ library of courses that are built in alignment with the National Association of State Boards of Accountancy (NASBA) standards.

Learn More & Subscribe

Enterprise Solutions

Tailored Experience

Bring this course to your organization at your convenience. ACI Learning can deliver this instructor-led course for your team at a chosen location or virtually. Alternatively, choose the topic(s) you need and ACI will craft a training solution to keep your team future-proof.

Customize Your Training

NASBA Certified CPE

24 Credits

Auditing

Why you should take this course

You should attend this course because the complexity and related risks in the asset management world have grown and to review these activities effectively auditors must have a comprehensive understanding of the many elements involved.

Who should take this course

This course specifically designed for employees who are required to conduct internal audit assignments within asset management.

What You'll learn

You will learn about the general asset management control environment, and the key considerations when auditing KYC compliance requirements, traditional and derivative investments, money market funds, asset allocation and third parties.

Prerequisites

Fundamentals of Internal Auditing - OAG101

Learning Options

Below are the available learning options for this course:

AuditProTV

Online On-Demand

This course is available through AuditProTV — a subscription-based, on-demand learning platform. As a subscriber, you will have access to an ‘all you can watch’ library of courses that are built in alignment with the National Association of State Boards of Accountancy (NASBA) standards.

Learn More & Subscribe

Enterprise Solutions

Tailored Experience

Bring this course to your organization at your convenience. ACI Learning can deliver this instructor-led course for your team at a chosen location or virtually. Alternatively, choose the topic(s) you need and ACI will craft a training solution to keep your team future-proof.

Customize Your Training

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: www.nasbaregistry.org.