Описание
Business Training Audience
Business Owners
Board of Directors
Top Management
Head of IT Department
Heads of Internal Control, Internal Audit, Risk Management, Security, and HR
Business training on internal audit in banks and other credit institutions will help solve practical problems:
Study and analyze the principles of building an internal audit function in a credit institution in accordance with best practices.
Master the tools for building a risk-oriented internal audit function.
Understand the principles of risk assessment.
Learn the principles of implementing and evaluating control procedures.
Learn the algorithm for implementing a comprehensive anti-fraud system.
Learn all stages and specifics of internal audit work in a credit institution.
Main topics of the business training:
1. Features of internal audit work in a credit institution.
2. KYC audit.
3. AML, CFT, CWMDF audit (anti-money laundering, counter-terrorist financing, and counter-weapons of mass destruction financing).
4. GDPR compliance audit, DPO (Data Protection Officer) functions.
5. Compliance audit, including Financial Crime Compliance (FCC).
6. Cyber risk audit – protecting critical information infrastructure.
Development of the internal audit function in banks and other credit institutions:
1. Approval of the staffing schedule, budget, and professional competence requirements for internal audit staff, as well as recruitment.
2. Development of the Internal Audit Service Regulations, Audit Standards, and employee job descriptions.
3. Conducting risk assessments and risk analysis for the internal audit service.
4. Approval of short-term and long-term development strategies for the internal audit function and organizational structure.
5. Approval of the long-term Internal Audit Plan (3 years) and the Internal Audit Plan for the current year.
6. Developing audit programs and test plans for the development and operational effectiveness of control procedures.
7. Approving risk and control matrix templates, process descriptions, and control procedure regulations.
8. Developing reporting forms for all management levels.
9. Organizing monitoring of the implementation of internal audit recommendations.
10. Training of internal audit employees and departments.
Implementation of an internal control system in banks and other credit institutions:
1. Implementation of corporate controls and general automated controls.
2. Identification of business processes posing the most significant risks.
3. Description of these processes in the form of flowcharts in their current form to understand which key controls are currently responsible for risks.
4. Developing new control procedures when high residual risks are identified.
5. Documenting control procedures as regulations, assigning process responsibilities and implementing control procedures. Approving these regulations by order of the CEO.
6. Organizing monitoring of the implementation of control procedures.
7. Conducting training for departments.
Building a comprehensive anti-fraud system in banks and other credit institutions:
1. Components of an anti-fraud system.
2. Establishing effective interaction between security, internal control, internal audit, and HR functions.
3. A system for separating critical responsibilities in processes and IT, as well as a matrix of positions prohibited for relatives.
4. Fraud risks, fraud scenarios, and key controls.
5. Preventive and deductive methods of combating fraud in practice.
6. A personnel motivation system as an important tool for combating fraud.
Duration of the training: 2 days
