New Internal Auditors’Tools & Techniques

Subject: New Internal Auditors’Tools & Techniques
Date: 23 January 2020
Venue: Nicosia, Cyprus
Outline: Seminar Outline
Registration Form: Seminar Registration Form
Details: The International Professional PracticesFramework(IPPF)
Understanding the Control Environment
•COSO Internal Control Framework
•SOX overview
•Commonly used internal control resources

Course Description

Learn the basics of auditing at the new internal auditor level. This course provides an overview of the
life cycle of an audit from a new internal auditor’s perspective while examining the internal control
environment and audit governance.
During this course, you will participate in interactive activities and real-life scenarios. Be prepared to
walk away with best practices and key takeaways you can apply to your organization and its internal
audit function.
This course is designed for internal auditors with 1-3 years’ experience who want to learn the
concepts, tools, and techniques to enhance their effectiveness and grow within the profession.

Course Objectives

• Identify the core elements of the International Professional Practices Framework (IPPF).
• Identify the components of the COSO Internal Control Framework.
• Identify the requirements of annual audit planning.
• Identify the components of interviews and how interviewing is used within an audit.
• Describe best practices for conducting and documenting interviews.
• Identify risks and key controls during the risk assessment process.
• The methods for obtaining and presenting audit evidence.
• Identify the best practices for selling audit results to stakeholders.
• Demonstrate the steps necessary to wrap up the audit after the report is issued.
• Recognize the formal quality assurance standards the internal audit function is required to

Course Topics (additional analysis)

TheInternational Professional Practices Framework (IPPF)

Understanding the Control Environment

  •  COSO Internal Control Framework
  • SOX overview
  •  Enterprise risk management (ERM)
  • COSO ERM Framework
  • Commonly used internal control resources
  • Definitions of risk and risk management
  • Roles and Responsibilities

Roles of internal auditors

  • Internal audit customers and stakeholders
  • Audit team roles
  • Definition of integrated auditing
  • Qualifications of audit team members, by level
  • Mission statement, vision statement, and audit charter
  • Sample internal audit organizational charts,job descriptions, audit charters, etc.

Audit Planning & Opening Conference
Audit Risk Assessment, Internal Controls, and Walkthrough
Audit Program Development
Audit Fieldwork & Testing
Audit Findings &Recommendations
Audit Reporting & Exit Conference

Audit Wrap-Up & Workpaper Review

  •  Typical wrap-up activities to completion of the audit

Quality Assurance & Improvement Program (QAIP)

  • Quality assurance
  • QAIP framework
  • Applicable guidance and sample QAIPs


Doron Rozenblum (B.A., M.A., CIA, CRMA) is the Vice President of The Institute of Internal Auditors in
Israel. In this role, Doron provides direction for The IIA’s Israel strategic plan, conferences and training.
Doron is also responsible for global relations with the IIA and IIA institutes around the Globe. Doron’s
service as an active volunteer with The IIA includes roles as committee member, and currently Doron
finished his term as 2018-2019 IIA Global Board Director.

Doron is the Managing Partner of Kreston-Ezra Yehuda-Rozenblum, leading the Risk Advisory Services
practice of Kreston IL Group. He is a Certified Internal Auditor (CIA) and holds the Certificate in Risk
Management Assurance (CRMA). He also has a Bachelor’s degree in Accounting and a Master of
Business Administration degree from Manchester University.

He has over 25 years of experience in internal audit, enterprise risk assessment, and control design and assessment,

and specializes in helping organizations understand and assess risks within their operations,

assessing the design of processes and controls, and providing tailored solutions to enhance internal audit effectiveness and value.