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Internal auditing in banking

2 day(s)

Objectives

  • Understanding risks in financial world: know key areas of banking to ensure that one could appreciate the inherent risks link to banking activities.
  • Identify key points of control.
  • Understand the internal audit role within the bank organization.
  • Acquire skills to conduct internal audit assignments according to these various risks.

Content

PART 1: THE MAJOR RISKS OF THE BANKING ACTIVITY

  • The traditional risks in a bank credit, market, operational and compliance.
  • The role of the corporate governance.

PART 2: INTERNAL CONTROL

  • The definition of Internal Auditing.
  • The Pivotal Document for Change (COSO).
  • The recommendations of the Basel Committee.
  • Critical analysis and explanation of the text.

PART 3: INTERNAL AUDIT

  • The role and key issues of internal audit.
  • The importance of the internal audit plan: a wide view across the range of risks within the organization.
  • The internal audit and the other actors of the evaluation.
  • Periodic control and permanent controls: complementary steps.
  • Methodology of an internal auditing mission.
  • Presentation of the different guidelines used by the auditor.

PART 4: SPECIFIC AUDIT METHODOLOGIES ACCORDING TO THE DIFFERENT BANK RISKS

  • Field studied:
    • The market activities.
    • The operational processes linked to the market activities.
  • Field studied:
    • The credit activities: specific internal control activities.
    • Capital requirement (Basel II and III): another way to analyze credit activities.
  • Field studied:
    • Operational risk specificity (human by nature).
    • Ways to evaluate operational risk managing process.
    • Operational risk management (from risk assessment to the reporting to the Top Management).
  • Field studied:
    • Compliance risk components: an old subject with new methods.
    • A specific internal audit approach.

Target group

Who is the course aimed at?

Internal and external auditors, internal controllers, risk managers, compliance officers and controllers.

 
Prerequisites

Knowledge of basic audit techniques and banking operations.

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Characteristics
Level Spécialisation
Organisation Formation inter-entreprise
Teaching aids

Power point documentation, it has been adapted to be used in distance:

  • More examples, More illustrations.
  • Alternate illustrations and practical exercises, exercises under Excel.
  • QCU, True/False, questions/answers to verify and review.
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