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Effective fraud prevention is essential to all business operations. It is vital to take a robust view, and establish a proactive approach to fraud prevention, identifying and positively managing fraud risk, implementing strategic and practical systems, and installing an anti-fraud culture - Tommy Seah |
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Audit Interviewing Techniques
Audit Interviewing Techniques | Audit Interviewing Techniques |
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Introduction : Two Dimensions of an Audit The Iceberg, shown below, is a convenient metaphor for describing the audit process. The tip of the iceberg represents the technical dimension of the audit. Being above the “water line”, the technical dimension includes the most visible and objective aspects of an audit. The way the audit is planned, the operations audited, auditees interviewed, etc.  As with an iceberg, however, a significant part of the audit takes below the water line. This is the interpersonal dimension - the manner in which the audit is performed and the way auditees feel about the audit. The interpersonal side of an audit has a direct impact on the technical quality of an audit. For example, the technical task of asking questions to obtain audit information is quite straight forward. Yet, the interpersonal side of how you ask questions directly influences the quality of the information obtained. Unless you pay equal attention to both the technical and interpersonal dimensions of an audit, it is unlikely that the audit will be uniformly effective. This is not a generic program. It is a technical coaching session designed for bank internal auditors to discharge their duties. Coaching Objectives
Benefits In Attendance At the end of the coaching session, participants will be:
Methodology This coaching by a Certified Fraud Examiner consists of a lively series of short participative lectures conveyed using plain uncomplicated explanations. Learning will be facilitated through discussion and case studies. Ample coaching materials will be given to participants so that these will be a constant source of reference to them. Ample time will be allotted for the transfer of ideas. Who Should Attend Risk Managers, Compliance Officers, Operations Managers, Treasury Managers, Training Managers, Relationship Managers, HR Managers, Internal Control Officers & All Bank Internal Auditors. |
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