Up COSO-Based IA Sarbanes-Oxley Best Practices ERM Soft Controls Operational New Auditor Leadership Relationship Report

 

Leadership and Supervision Skills for Auditors
(1-2 days)

What you will gain from this seminar:

bulletUnderstand the all-important interpersonal side of the audit – building relationships with your audit customer and helping junior auditors grow and develop
bulletLearn your own personality style, how to quickly identify other peoples’ styles, and how to use this knowledge to build effective working relationships
bulletPractical tools and skill-building exercises to help you and the others on your team become peak performers

Who should attend: Auditors with at least one year of experience, especially lead or in-charge auditors.

Course Outline

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Introduction
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The COSO challenge: Take the blinders off!

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Participatory auditing: Get your customers on the audit team

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Audit simulation: Introduction to MegaBucks Financial Services; plan an "impossible" audit assignment

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Communication Styles: Key to Effective Leadership
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Communication style questionnaire: identify your own style

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Communication style clues: identify other peoples’ styles quickly

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Conflicting and complimentary styles

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Using styles to work with your audit customers

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Audit simulation: Role play initial interview with audit customer

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Leadership Styles
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Doer, Supporter, Team-Builder

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The First Rule of Leadership

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Delegation
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Guidelines for assigning staff

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Using communication styles to work with your audit staff

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Eight audit staff personality types, and how to supervise each type

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A twelve step approach to effective delegation

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Monitoring Fieldwork
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The importance of timely, informal feedback - and how to give it

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How to deal with difficult staff: "What if?" scenarios

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Holding frequent update meetings with your customers and staff

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Workpaper review: guidelines and tips

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Reporting
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Using the 5 attribute approach to developing audit findings to train junior auditors

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Participatory reporting: making your customer part of the solution

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Exit conferences: preparation, presentation, tips for success

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Audit simulation: Review staff's audit findings, role play exit conference

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Performance Appraisal
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The importance of timely, informal feedback - No Surprises!

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Guidelines for preparing and conducting a formal appraisal

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Model appraisal form and standards

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Audit simulation: Prepare and role play performance appraisal of selected audit staff personality type

 

COSO-Based IA ] Sarbanes-Oxley ] Best Practices ] ERM ] Soft Controls ] Operational ] New Auditor ] [ Leadership ] Relationship ] Report ]

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