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A Step By Step Guide: How to Perform Risk Based Internal Auditing for Internal Audit Beginners

A Step By Step Guide: How to Perform Risk Based Internal Auditing for Internal Audit Beginners

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A Step By Step Guide: How to Perform Risk Based Internal Auditing for Internal Audit Beginners

evaluări:
4.5/5 (9 evaluări)
Lungime:
131 pages
1 hour
Lansat:
Apr 26, 2016
ISBN:
9781456621650
Format:
Carte

Descriere

This book provides new internal auditors with step by step guide in performing risk based internal auditing. Summarised in 5 easy-to-follow simple steps, the author shares his experience in performing an effective and comprehensive internal audit exercise.

Methodology and complex techniques are available. Not to deny that all these available information is good, but it would be too complicated for internal audit beginners to understand and to apply those information immediately into a guide in their first task.

Therefore, this book has been written to provide a simple yet comprehensive guides with examples that can be immediately applied!
Lansat:
Apr 26, 2016
ISBN:
9781456621650
Format:
Carte

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A Step By Step Guide - RAZLY ZAKARIA

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ABOUT THE AUTHOR

Razly Zakaria is actively involved in the provision of internal audit outsourcing services. He is also active in conducting risk awareness trainings, facilatating risk assesment workshops as well as   handling many projects with regards to the establishment of enterprise risk management framework for public listed companies and government agencies. He has been leading many major assignments in Malaysia, Thailand, Singapore and Bahrain.

Razly’s certifications & professional memberships include the followings:

• Association of Chartered Certified Accountants, UK (ACCA)

• Certified Internal Auditor, USA (CIA)

• Certification in Risk Management Assurance, USA (CRMA)

• Malaysian Institute of Accountants (MIA)

• Chartered Member of Institute of Internal Auditors Malaysia (CMIIA)

He gained commercial & consulting experience during his employment with few public listed companies and private entities as well as international audit firms namely KPMG, BDO & Grant Thornton, before heading an Internal Audit & Risk Management Department in a utility company.

He is currently the Managing Director of a training company and a shareholder and Executive Director of a reputable consulting company, providing business advisory services which include Business Valuations, Financial Due Diligence for Mergers & Acquisitions, Enterprise Risk Management, Internal Audit Outsourcing and Governance Review.

During his employment with commercial organisations, he has been exposed to Corporate Planning, Securities Market Operations, Financial Management, Office Administration as well as Investment Analysis.

Besides commercial experience, he was exposed to consulting activities while serving the above-mentioned international audit & consulting firms. He has been involved in Corporate Recovery & Insolvencies, Internal Audit, Investigative Audit, Enterprise Risk Management, Development of SOPP, Financial Due Diligence and Business Valuation assignments covering private and public entities in various industries namely construction, property/ hotel management, utilities, manufacturing, plantation, heavy engineering, trading, food & beverages, transportation & logistics, investment holding and government-linked corporations.

PREFACE

I started my journey as an internal auditor in a big 4 international accounting firm. My very first assignment started on my second day at the firm. I was assigned to perform risk-based audit on Procurement, Finance and Strategic Management Departments. I was totally lost and the only reference that I had were working files from the previous audit which actually covering different processes.

I was flipping through the previous working files when my superior told me, In 15 minutes, we are going to see the Head of Procurement Department, get your Information Request List ready….. I was never involved in auditing before, I was doing accounting, costing, administration and corporate planning in my previous employments. I remembered I scribbled few basic documents that I know and passed it to the Vice President of Procurement Department. Definitely I got tonnes of review points when my Manager review my working papers, because it is far from complete. 

I took my own effort to go through the so called advanced and the best methodology in the firm’s database. If I look at the methodology now, yes, I would say that the methodology is good and comprehensive. But at that time, as a beginner, of course I would say that it is too complicated. I need to start my assignment immediately, so I need something simple and easy-to-follow as a guide to start my assignment. I don’t have a simple step by step guide which can assist me to immediately audit a process or a department. So, I have to struggle to complete my assignment and learnt through the hard ways.

Based on my past experience, I started drafting a simple step by step guide when I became Head of Internal Audit & Risk Management Services in one of a medium-sized consulting firm. This has been done in view to give a simple and understandable guide to my Internal Audit staff so that they can start to perform their job immediately at an acceptable standard.

This e-book is developed to serve the same purpose, to provide beginners in internal audit profession with a step by step guide to effectively carried out their risk-based audit without going through the hard ways as I did before.

I have developed 5 simple and easy-to-understand steps for readers to learn. By reading and learning from this guide, readers would be able not only to understand the internal audit process, but to deliver a better quality works from what would be expected from beginners.

SO, KEEP READING THE BOOK AND….ALL THE BEST! 

Special thanks to my mother, wife and daughter, for being very supportive in whatever move that I made and for being there with me in all situations and challenges. I may not be what I am today without your support and patience. To my mother, my wife and my daughter….you’re my strength, you’re my motivation. THANK YOU!

STEP 1:

BUSINESS & PROCESS UNDERSTANDING

STEP 1: BUSINESS

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  • (5/5)
    Absolutely helpful in conducting the risk-based audit. Hope there are more samples given, nevertheless, it is a comprehensive guide of the audit process.
  • (5/5)
    Very helpful in offering me, as a beginner, a clear and concise view of the whole process of IT audit. Highly recommended!