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Continuous Auditing & Monitoring

Corporate Compliance Seminars
Training overview
Length: 8 hours

Continuous Auditing & Monitoring


Continuous Auditing & Monitoring - CPE Training by Corporate Compliance Seminars

CCS provides CPE training on how to apply continuous auditing and monitoring approach to the appropriate transaction flows and other internal audit assignments. This internal audit approach provides more timely and ongoing assurance concerning detail controls operation.

Continuous auditing has changed the internal auditing paradigm from periodic reviews of a small sample of transactions to ongoing audit testing of volumes of transactions. This CPE seminar focuses on identifying what must be done to make effective use of information technology in support of continuous auditing.

With a focus on how information technology can support continuous auditing systems, this course will teach participants to:

  • Understand the continuous auditing concepts
  • Improve interperiod controls monitoring
  • Use an continuous auditing approach
  • Improve cost effectiveness of their internal audit function

Who should attend?

This seminar is not just for auditors, it is for any professional who has responsibilities for controls in a modern organization It is for anyone who wants an understanding of the relationship between data and how it is converted into information. With Corporate Compliance Seminars’ small learning group approach, the needs of each attendee are covered.

Training Content

The content of this course is divided into the following sections:

  • Section 1 - Introduction and Definitions
    • Do you use personal continuous auditing & monitoring?
    • What is Continuous Monitoring (CM)?
    • What is Continuous Auditing (CA)?
    • What is assurance?
    • What is continuous assurance?
    • "The Inverse Relationship"
    • COSO 2013 - Seventeen Integrated Principles
  • Section 2 - Client Examples of CAM Systems
    • Monitoring a financial database
    • Monitoring a fleet
    • Banking regulatory reporting
    • Retail dashboards
    • IT security administration
    • Disbursement fraud
    • Call Center operations
  • Section 3 - Software Market Leaders
    • Traditional approach to auditing
    • Benefits of a CAM program
    • Auditor tools
    • Substantive testing
    • Internal Control testing
    • Challenges and other considerations
  • Section 4 - Evaluating the "Build" or "Buy" Decision
    • If we build it we own it
    • General Audit software
    • Buy criteria
    • Substantive testing
    • Internal Control testing
    • Challenges and other considerations
  • Section 5 - Designing the Continuous Auditing Program
    • Culture and politics
    • Are you ready for continuous auditing? - Challenges of implementation
    • Define the objectives
    • Project management techniques
    • Identity risks, controls and audit tests
    • Establish data use requirements
    • Pilot the system
    • Refine the system
    • Report and "manage" results
  • Section 6 - Implementing Continuous Auditing for Sarbanes-Oxley Act Compliance
    • Sarbanes-Oxley Act
    • SEC focus on "ICFR"
    • SOX Guidance
  • Section 7 - Implementing Continuous Auditing for Information Technology
    • Access security
    • Development, change, and implementation
    • Operations, backup, restoration and recovery
    • IT vendor management
  • Section 8 - Implementing Continuous Auditing for Financial Control and Fraud
    • Occupational Fraud
      Areas of Fraud
      Excluded parties listings
      Financial transactions and fraud
  • Section 9 - Case Study Example
    • IDEA and Monitor
    • Usage Examples
  • Section 10 - Summary and Wrap-up


Students will receive 8 Auditing CPE hours at the end of this course.


The cost of this course is $495 per person.

Provider: Corporate Compliance Seminars

Corporate Compliance Seminars

Corporate Compliance Seminars (CCS) - Auditing, Accounting, Compliance and IT Training

Corporate Compliance Seminars (CCS) is the premier provider of Continuing Professional Education (CPE) seminars. We specialize in auditing, risk management, compliance, internal controls, security, assurance services and other related topics to accounting and IT. We are focused on the needs of our attendees by providing high...

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