DATA ANALYSIS USES TECHNOLOGY to detect anomalies, patterns, and risk indicators within the data set. It can be used to establish a hypothesis or to quantify detected issues if the hypothesis was found to correctly identify fraud. This template provides a list of tests for fraud using data...
Data_Analytics_Tests_for_Fraud.xlsx
Title of the Audit Working Paper(s): IT Risk Management - IT Governance and Control system Purpose of the working paper. In simple IT Risk Management Framework is set of best practices and internal controls relating to Information Technology. The IT Risk Management Framework is all about the...
IT_Risk_Management_Framework_Organizational_IT_governance_and_Control_System_1.xlsx
Framework of how to develop and maintain an effective insider threat program. These guidelines reflect surveyed financial services firms and do not wholly represent all suggested best practices. #Operational-IT-Fraud #Procedures
Insider_Threats_Review.xlsx
Objective In accordance with the Internal Audit Plan approved by the Audit Committee, the Department of Internal audit will perform an audit of the Budget Process and Related Controls. This communication is to confirm the preliminary understanding of the timing and objective of the audit as...
Budget_Process_and_Controls_Audit.xlsx
Planning The auditor should determine whether specialized skill or knowledge is needed. The engagement team may need specialized skill or knowledge in the areas of cryptography, distributed ledger technology, valuation, and laws and regulations (including with respect to know-your-customer...
Auditing_Cryptocurrency (1).xlsx
Provides risks and controls for the financial management function. #Procedures #Financial-RCM
Strategic_Financial_Management_RCM_Template.xlsx
To establish inherent risks and institute mitigating controls around Cyber Security auditable entity. Audit objectives: to provide reasonable assurance that risks inherent in Cyber Security auditable entity is effectively mitigated to achieve business objectives. Industry sector - Banking ...
Cyber_Security_Audit_Program.xlsx
Evaluate the guidelines established by the Administration to ensure the effectiveness of risk management. Objectives: Evaluate the risk management of the organization to achieve the established objectives. #Operational-RCM #Procedures
Risk_Management_Checklist.xlsx
As the name suggests, ESG covers three broad categories: Environmental – risks and opportunities around greenhouse gas emissions, water usage, and waste and pollution. This category focuses on both the outputs (what and how much the organization produces) as well as the inputs (the...
ESG_Reporting_US_Audit_Program.xlsx
Revenue cycle policies are designed to ensure that there are effective internal controls over all aspects of the cycle. The common objectives of these internal controls are to: Ensure that all sales are billed and that all billings are recorded. Control the risks associated with extending credit...
Revenue_Cycle_Risk_Control_Matrix_Higher_Ed_Template.xlsx