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Risk Compliance Matrix for Internal Audit and SOX Operations - Active and Engaged Risk Management Activities
- 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?
Overview of the webinar
21st-century business organizations require active and engaged risk management activities. Today's risk and compliance process are rather complex and dynamic, therefore it requires governance, risk, and compliance professionals to possess certain skills in order to effectively complete their duties and responsibilities. The days of using staid audit programs are over. This training program will engage participants in evaluating each business process using a risk-based approach and in preparing risk and compliance documentation for each engagement.
Who should attend?
- Internal Auditors
- Compliance Professionals
- Operational Risk Professionals
- Finance Professionals
- Board Members
- Internal Auditors
- External Auditors
- Audit Committee Members
- Operational Risk Managers
- Departmental Managers
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? This webinar will answer these questions and more.
This webinar will equip 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
Faculty - Mz.Marna Steuart
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.