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IT Auditing Fundamental

IT Auditing Fundamental PREREQUISITES: Basic Computer skills, MS office Knowledge of basic IT infrastructure such as databases, operating systems, network, …

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    IT Auditing Fundamental

    PREREQUISITES:

    • Basic Computer skills, MS office
    • Knowledge of basic IT infrastructure such as databases, operating systems, network, information system operations, IT security, and roles and responsibilities of IT people.
    • Knowledge of basic business processes – such as Account Receivable, Account Payable, and Revenue, etc.

    COURSE DESCRIPTION:

    To provide IT professionals the audit side of the technical skills and tools needed to perform an IT auditing functions.  The three-day course will examine how the internal audit department operates and provide a real-world business-process view of Information Technology auditing that will help you develop an audit mind-set.  To review what will be expected of you as an auditor, you will review professional audit standard and the COSO internal control report, and discover how they differ from IT standards. You will examine the impact of current business environment on IT, including the Sarbanes Oxley Act, control models, and risk management.  You will explore the purpose and scope of information system audits, you will learn the importance of application and general controls and how to perform reviews at all levels of the enterprise.  Not for computer rookies, this course will place you with other technical professional who must learn the ins and outs of IT auditing. You will also learn IT auditing jobs interview skills and requirements.  The demand for IT auditing professionals has been growing in the past year and trend will continue since internal controls could not be outsourced easily.

    Unit 1: Fundamentals of IT audit

    Fundamentals of IT audit will cover auditing Standards such as SAS, ISO, COSO, COBIT,COSO and COBIT control framework. IT infrastructure such as database and distributed systems will also be covered in this unit.

    • Fundamentals of IT audit
    • Auditing Standards – SAS, ISO, COSO, COBIT, and Law and regulations
    • Infrastructure Essentials – Network, System Software, Database and servers
    • Databases – audit concerns and controls
    • Distributed Systems – tier structure and client/server

    Unit 2: General computer Controls

    IT infrastructure such as Networks, which will include Telecommunication, OSI layers, network components, firewall, IDS, and IPS. Internet, Business and transaction flow auditing, their audit concerns and risks will be addressed in this unit along with on controls needed for e-commerce, x-content and their related risks.

    • Networks – Telecommunication, OSI layers, network components, firewall, IDS and IPS
    • Internet – e-commerce and x-content
    • General Control – audit approach, network, OS, DB, Change management, operations and physical security
    • Business Systems Applications – application audits – AP, AR, GL and Payroll
    • Business Process versus Transaction – batch, online, real time processing
    • General Flow of an Application Audit – validation and reconciliation
    • Components of a Business Application – Origination of input, input, process and output

    Unit 3: Application Controls

    The application controls (input, processing, and output) and process used to support business systems such as Account Payable, Account Receivable, Payroll, Billing, Credit, General Ledger, Inventory and auditing tools will be reviewed during this unit.

    • Data Input and Processing Models
    • Application Controls – input control, interface header/trailer and output control

    Unit 4: audit tools and Control Matrix

    The auditing process, approach, scope, objectives, risks, and CAAT (Computer Aided Auditing Tools – such as ACL, Bindview, and access) will be covered.

    • Beginning the Audit – who, what, how, when and why
    • Control Matrix – segregation of duties testing
    • Computer Assisted Audit Techniques for Substantive Testing – generalize audit tools, excel, ACL, and access

    Unit 5: Auditing by Exception and Approaches

    Auditing by Exception – fraud (intention and unintentional), SARBANES-OXLEY SECTION 404 and CORBIT PROCESSES – AS2 and the new proposal AS5. CISA (Certified Information Systems Auditor)

    • Auditing by Exception – fraud – intention and unintentional
    • SARBANES-OXLEY SECTION 404 and CORBIT PROCESSES – AS2 and AS5.  Certified
    • Information Systems Auditor exam and how to prepare for the test Certified Information Systems Auditor exam and how to prepare for the test

    Unit 6: Mock Audit process reports.

    Explain on how to write risk statements and their related exposure (impacts), quantification of exposure, audit and technical reports.

    In addition, summary of reports on how to write risk statements and their related exposure (impacts), quantification of exposure, audit and technical reports will be discussed.

    COURSE OBJECTIVES:

    At the end of this course, students should be able to:

    • Know how to identify/evaluate/document general and application controls and risks associate with IT and business processes from an internal audit department mind-set.
    • Know how to apply audit/professional standards/regulatory (SOX), develop audit procedures, conduct end to end IT auditing processes which will include audit announcement/request list/interview/testing/develop work papers/ticked mark/evidences/exit negotiation skills, and finalized with a business orient audit report.

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    PRIVATE COURSE
    • PRIVATE
    • 10 Days

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