Mastering the Five Tiers of Audit Competency : The Essence of Effective Auditing book cover
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Mastering the Five Tiers of Audit Competency
The Essence of Effective Auditing





ISBN 9781498738491
Published May 2, 2016 by Auerbach Publications
199 Pages 27 B/W Illustrations

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Book Description

Risk-based operational audits and performance audits require a broad array of competencies. This book provides auditors and risk professionals with the understanding required to improve results during risk-based audits.

Mastering the Five Tiers of Audit Competency: The Essence of Effective Auditing is an anthology of powerful risk-based auditing practices. Filled with practical do and don’t techniques, it encompasses the interpersonal aspects of risk-based auditing, not just the technical content.

This book details the behaviors you need to demonstrate and the habitual actions you need to take at each phase in an audit to manage the people relationships as well as the work itself. Each section of this book is devoted to a component of the audit: planning, detailed risk and control assessment, testing, audit report writing, project management, audit team management, and client relationship management.

The book leverages The Whole Person Project, Inc.’s 30 years of hands-on organizational development experience and custom-designed internal audit training programs to aid those just starting out in audit as well as more experienced auditors. It also contains templates you can use to set performance goals and assess your progress towards achieving those goals.

This book will spark ideas that can enhance performance, improve working relationships, and make it easier to complete audits that improve your organization’s risk management culture and practices. Explaining how to make positive and sustained changes to the way you approach your work, the book includes a summary of the key points and a brief quiz to help you remember salient ideas in each chapter.

Presenting proven methods and advice that can help you immediately save time, reduce stress, and produce reliable, quality results, this book is an ideal resource for anyone looking to make positive changes and adopt more productive work habits

Table of Contents

How to Get the Most from This Book. Techniques for Planning Useful Audits. Techniques for Detailed Risk and Control Assessment. Testing and Sampling Techniques. Documentation and Issue Development: The Building Blocks for Effective Audit Reports. Core Competencies You Need as an Auditor. Techniques for Managing the Audit Team. Techniques for Managing Constituent Relationship. Chapter Quiz Answers. Bibliography.

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Author(s)

Biography

Ann M. Butera is the founder and president of The Whole Person Project, Inc., an organizational development consulting firm that specializes in assisting companies to introduce, handle, and manage change. Her prior work experience as a department manager for a large retailer, a system liaison officer at a major money center bank, and an internal consultant at a bankcard processor, in conjunction with her experience as a business owner and consultant, enables her to develop customized approaches for continuous improvement and increased profitability in organizations of all sizes. She served as an audit committee chair for a financial services firm.

For over 25 years, Ann Butera has consulted with organizations of all sizes to provide managers, auditors, and compliance and risk professionals with the techniques needed to improve their risk management practices. She has worked specifically with audit, compliance, and risk management department managers to develop methodologies that enhance the consistency and quality of audit and review execution.

Ann Butera received her Masters of Business Administration in Organizational Development from Adelphi University and is a Summa Cum Laude graduate of Long Island University (C.W. Post Campus).