Entity-Level Controls - Operational - OAM126WEB
Organizations rely on effective internal controls to keep risk at bay. Entity level controls act at the enterprise level to make sure that directives are carried out and include a variety of direct and indirect actions that improve oversight, manage risks and in general strengthen an organization’s control environment. This webinar covers different types of entity level controls and shows how to audit and make sure they are supporting the organization’s efforts to have a robust governance, risk management and compliance infrastructure.
Who should attend?
Internal and external auditors, financial auditors, audit management, compliance and risk management professionals.
Prerequisites - None
You will learn what entity level controls are, roles and responsibilities, linkages to key control frameworks, ways of evaluating them, and best practices so you can make effective recommendations for improvement.
1. Entity Level Controls:
- Definition, types and their importance
- Benefits to the organization and other interested stakeholders
- Responsibilities of the board and management
- Linkages to COSO, ISO, COBIT and The Three Lines of Defense
2. Common Entity Level Controls:
- Identification and qualitative attributes
- Going beyond their presence and ways to determine their condition
3. Evaluating Entity-Level Controls:
- Who wants to know about this?
- Techniques to assess ELCs
- Using IT general controsl and data analytics
- Making recommendations for improvement that get implemented
4. Promoting Best Practices:
- ELCs and their impact on corporate culture
Certification / Credits
NASBA Certified CPE: 2 Credits Auditing
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