Introduction to Risk & Compliance Matrices for Internal Audit, soX404, and Assurance

Dion K. Hamilton

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The 21st century business organization requires active and engaged risk management activities. Today’s risk and compliance process is rather complex and dynamic, therefore it requires the governance, risk and compliance professional to possess certain skills in order to effective complete their duties and responsibilities. The days of using staid audit programs are over. Therefore risk and compliance professionals must be able to evaluate each business process using a risk-based approach and to prepare risk and compliance documentation for each engagement.

Course Objective

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 was created to give young 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

Course Outline

  • 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 processed 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? 

Target Audience

  • Beginning Internal Auditors
  • Compliance Professionals
  • Operational Risk professionals
  • Finance Professionals
  • Board Members
  • Internal Auditors
  • External Auditors
  • Audit Committee Members
  • Operational Risk Managers
  • Departmental Managers

Webinar Events
Live -Coming soon!

Training CD-DVD

Physical CD-DVD of recorded session will be despatched after 72 hrs on completion of payment

Recorded video

Recorded video session

Speaker: Dion K. Hamilton,

Dion K. Hamilton is the Co-founder and Principal Advisor for GLOBAL RISQ CONSULTING. He is a proven leader in the governance risk and compliance arena. His capabilities include ERM program development and implementation; governance, business process and internal controls design for ERP initiative; and audit-readiness and support for IT, financial, and operational compliance requirements. Dion is a strong proponent of leveraging technology to achieve business objectives. Prior to starting GLOBAL RISQ CONSULTING, he was a Senior Manager in the risk advisory practice for MorganFranklin Consulting. During this period, Dion honed his skills as a governance, risk and compliance professional while leveraging his prior expertise as both an external and internal auditor. He began his career began in 1994 with Coopers & Lybrand (now PwC) as a business assurance professional. Thereafter he held various roles in the internal audit departments of such organizations as The Fairchild Corporation, The National Association of Securities Dealers (now FINRA), Northrop Grumman Corporation, and the Washington Metropolitan Area Transit Authority.

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