Beginning Auditor Tools and Techniques 

Training on
Beginning Auditor Tools and Techniques
Course starts 08 March 2015, Every Sunday 08:30 – 11:30am (24 hours)

To become a successful auditor, a strong base of knowledge and an understanding of basic audit skills are essential. With this program, new auditors, as well as non-auditors with internal control responsibilities, can learn the ins-and-outs of an audit from beginning to end. Through team exercises, group discussion, and facilitator presentations, attendees will gain a foundation of knowledge that will allow them to prepare properly for and conduct a successful audit, using preliminary surveys and evidence-gathering techniques. A basic understanding of how to identify risks and internal controls in auditing will also be stressed, along with interpersonal and team-building skills.

To enhance the skills of junior internal auditor as well as accountants or relevant professionals with internal control responsibilities to apply the practical experience in the work place. 

I. Internal Audit Today
  • Discuss some of the best practices within internal audit today.
  • Identify core services and value-added opportunities provided by internal audit.
  • Identify the roles of internal auditors.
  • List internal audit’s customers and stakeholders.
  • Determine the activities that occur within each stage of the audit model.
II. Risk Assessment and Risk Management
  • Mitigate risks to help ensure management directives are carried out.
  • Use impact and likelihood factors to assess risk.
  • Define risk management concepts and terms.
  • Identify controls for mitigating risks to strategic objectives.
  • Evaluate control issues using the COSO Framework.
  • Identify strengths, gaps, and concerns of an internal control environment.
III. Audit Planning
  • Discuss the audit planning process.
  • Identify IPPF guidance related to the planning phase of an audit.
  • Assess the likelihood and impact of high-level inherent risks.
  • Explain activities involved in planning audit projects.
  • Discuss planning the audit approach.
  • Assess roles in annual audit planning and audit project planning.
  • Assess preliminary scope area.
  • Discuss objectives and best practices for opening conferences.
IV. Interviewing
  • Explain how interviewing is used within an audit.
  • Describe the uses, objectives, and expected outcomes of interviews at each stage in the audit model.
  • Discuss best practices for planning and conducting interviews.
  • Identify best practices and opportunities for improvement in interviewing.
  • Practice preparing for and conducting an interview.
  • Prepare an interview based on a given scope-area objective.
V. Process Documentation
  • Contrast a basic narrative and a flowchart
  • Create a narrative or flowchart
  • Discuss the advantages of some best practices for narratives and flowcharts
  • Identify inconsistencies in flow charts and narratives Describe three types of walkthroughs.
VI. Audit Programs
  • Describe the development and use of audit programs
  • Classify inherent impacts and likelihoods for various types of risks.
  • Classify controls as preventive or detective, and as automated or manual.
  • Identify control points and possible control gaps or flowcharts.
  • Complete a risk matrix
  • Determine which controls are key controls, and whether they should be tested during an audit.
  • Assess testing objectives
  • Discuss tailoring audit programs
  • Assess roles in the development of audit programs
VII. Automated Tools
  • Discuss tools that automate the audit process.
VIII. Reporting
  • Write an audit report using the five components.
  • Recognize the components of an audit report.
  • Determining the readers of audit reports.
  • Assess the quality of an audit opinion.
IX. Selling the Results
  • Discuss methodologies for “selling” audit findings to stakeholders.
  • Describe factors that help “sell” audit findings and recommendations.
  • Prepare for selling an audit finding.
  • Identify best practices and opportunities for improvement in exit conferences.
  • Describe activities involved in monitoring an audit.
X. Teamwork
  • Explain how teamwork is essential to an audit project.
  • Describe the value of various teamwork related factors.
  • Examine how your own capabilities contribute to a team audit project.

Mak Heangda, ACCA Affiliate, successfully completed ACCA program and equipped himself with professional and practical experiences in both internal and external auditing function in the last 6 years, through one of the big 4 audit firm and a local group of companies which specialized in hospitality and commercial industry. Being as an auditing enthusiast and having acquired in-depth understanding of both the auditing functions and financial management, Heangda will share all his practical experience to a greater extent, not only as an auditor but also as a modern hybrid accountant.

Course:            Beginning Auditor Tools and Techniques
Date:                Course starts 08 March 2015
Venue:             Financial Institute of Cambodia
Time:               Every Sunday 08:30 – 11:30am (24 hours)
Language:       English handout- Khmer presentation
Fee:                 US$ 137.50
Material:          Class Materials (compulsory): 10$/ subject  & Book:10$/ subject
Free:                Snack & coffee break, Career services support, 70% discount any classes retake, 7-day a
                         week internet use, 7-day a week library use and  Certificate based on Pass 50%,
                         Merit 60% & Distinction 75%

Financial Institute of Cambodia (FIC)
807 Preah Monivong Blvd., Phsar Derm Thkov, Chamkarmon, Phnom Penh, Cambodia
Mobile: 017 849 748/ 081 288 858,  Email:

Website: www:

Course start: 07 Mar
Course start: 08 Mar
Course start: 08 Mar
Course start: 08 Mar



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