Introduction to Risk & Compliance Matrix for Internal Audit, SOX404, and Assurance

Duration: 90 Minutes
The 21st century business organization requires active and engaged risk management activities. Today's risk and compliance process is rather complex and dynamic, therefore it requires the governance, risk and compliance professional to possess certain skills in order to effectively complete their duties and responsibilities. The days of using staid audit programs are over. Therefore risk and compliance professionals must be able to evaluate each business process using a risk-based approach and to prepare risk and compliance documentation for each engagement.
Regulatory Compliance Requirement
Instructor: Marna Steuart
Product ID: 501317
Objectives of the Presentation
This webinar is created to equip young risk and compliance professionals with the skills necessary to prepare a Risk and Controls Matrix, including the following:
  • Discover the objectives, components and requirements of effective internal controls
  • Leveraging internal control frameworks to create a risk and controls matrix
  • Developing risk identification and management strategies to implement now
  • Learning how to design internal controls
  • Learning how to evaluate the design and operating effectiveness of internal controls
Why Should you Attend
Whether you are planning a SOX engagement, or an internal audit, regulatory compliance requirements, or other separate evaluations, just where do you start with planning for the engagement? How do you complete the necessary risk and control documentation that you will need to successfully complete the engagement? Attend this webinar to learn more.

Areas Covered
  • What information is needed to prepare the Risk and Controls Matrix?
  • What accompanying documents are required in order to prepare the Risk and Controls Matrix?
    • Process Narrative
    • Process Flow Diagram
  • What are the elements contained in a Risk and Controls Matrix?
  • What is the process for preparing the Risk and Controls Matrix?
  • What is the final outcome of a completed Risk and Controls Matrix?
  • What happens next after you have completed the Risk and Controls Matrix?
Who can Benefit
  • Beginning Internal Auditors
  • Compliance Professionals
  • Operational Risk professionals
  • Finance Professionals
  • Board Members
  • Internal Auditors
  • External Auditors
  • Audit Committee Members
  • Operational Risk Managers
  • Departmental Managers
$300
Recorded Session for one participant
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How it works
Live Session - How it works
  • Login to onlinecompliancepanel with your registered username and password https://www.onlinecompliancepanel.com/login
  • The webinar joining link, username and password for joining the webinar will be updated on your OCP Account 24 hours prior to the webinar
  • Presentation handouts in Downloadable PDF format will be updated on your OCP Account 24 hours prior to the live session
  • Login to the audio conference on the scheduled date and time
  • Get answers to your queries through interactive Q&A sessions via chat at the end of the session
  • Download the Certificate of Attendance and Purchase Invoice from your OCP Account 24 hours after the completion of the session
  • Please let us know your thoughts and views at the end of the webinar, your valuable feedback will help us improve
Recorded Session - How it works
  • Login to onlinecompliancepanel with your registered username and password https://www.onlinecompliancepanel.com/login
  • Upon purchase of the recorded session a link will be updated on your OCP Account within 24 hours
  • Please click on the link to access the Recorded Session
  • Presentation handouts in downloadable PDF format will be updated on your OCP Account within 24 hours of the purchase of the product
  • Download the Certificate of Attendance and Purchase Invoice from your OCP Account after 48 hours of the product Purchase
  • Please share your valuable Feedback at the end of the session
Instructor Profile:
Marna Steuart has been in the audit industry for over twenty years. Ms. Steuart began her career with a Big Four firm as an external auditor, then as an internal auditor in several different capacities within several different industries. Ms. Steuart obtained her Certified Fraud Examiner license in 2007 and was the main fraud investigator for five years at a large utility company. She was responsible for performing and updating the fraud risk assessment on an annual basis and conducting over fifty internal fraud investigations during her time at this organization.
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