Beginning Auditor Tools and Techniques

20-21 & 27-28 Feb
20-21 & 27-28 Feb
20-21 & 27-28 Feb

Training on
Beginning Auditor Tools and Techniques
20-21 & 27-28 February 2016

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. 

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.
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.
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.
  • 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.
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.
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
Automated Tools
  • Discuss tools that automate the audit process.
  • 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.
Selling the Results
  • Discuss methodologies for “selling” audit findings to stakeholders.
  • Describe factors that help “sell” audit findings and recommendations.
  • Discuss methodologies for “selling” audit findings to stakeholders.
  • Prepare for selling an audit finding.
  • Identify best practices and opportunities for improvement in exit conferences.
  • Describe activities involved in monitoring an audit.
  • Explain how teamwork is essential to an audit project.
  • Describe the value of various teamwork related actors.
  • Examine how your own capabilities contribute to a team audit project.
Mr. SAN Chankompheak is a member of the Association of Chartered Certified Accountant (ACCA) Kampuchea Institute of Certified Accountants and Auditors (KICPAA). He also earned his BA in Economics & Management as a dual program from University of Lyon II (France) accredited at Royal University of Law and Economics (Cambodia). With 8 year experience in the areas of auditing and financial accounting, he is currently a Managing Partner of East Wing Auditing & Consulting dealing with various multinational clients across different industrial fields. He is also a training director of Financial Institute of Cambodia in charge of training programs. Mr. Kompheak is a guest lecturer of Financial Accounting to year I MBA students at Royal University of Law and Economics under internationally accredited program from France. He can comment in Khmer, English, French and some Mandarin.
Course:            Beginning Auditor Tools and Techniques
Date:                20-21 & 27-28 February 2016
Time:               Sat & Sun, Morning: 8:30AM-11:30AM; Afternoon: 1.30-4.30PM (24 hours)
Venue:             Financial Institute of Cambodia
Language:       English handout- Khmer presentation
Fee:                 US$ 150
Free:                learning materials, coffee break and certificate of Completion.

Financial Institute of Cambodia (FIC)
807 Preah Monivong Blvd., Phsar Derm Thkov, Chamkarmon, Phnom Penh, Cambodia 

Tel: 023 726 642  /  017 849 748  /   081 288 858  /  016 301 026
Email:,  Website: www:



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