Certified Financial Services Auditor (CFSA®) Study Guide on CD

CFSA

CISA

CGAP

CISM

William J. Sampias

James K. Kincaid

PH.D.

Al Marcella

Don Caniglia

Frank O. Brien

Reference

The IIA Research Foundation

The IIA s International Standards for the Professional Practice of Internal Auditing, Standards, requires all internal audit activities, regardless of industry, sector, or size of staff, to develop and maintain a Quality Assurance and Improvement Program. The essential elements of a QAIP include internal and external assessments.
Revised by leading quality assessment experts and reviewed by an international team of practitioners, this Quality Assessment Manual offers a new methodology and broadens the focus to include all components of a QAIP, internal assessments, metrics, continuous improvement and reporting, as well as external assessments. Aligned with the Standards, this Quality Assessment Manual outlines a quality assessment process flow that streamlines gathering of evidence and eliminates duplication of work, contains standardized tools that promote ease of use while achieving consistency in assessment techniques and documentation of results, and offers a Road Map that highlights the alignment of specific assessment activities to assist with conformance to the Standards. The Quality Assessment Manual is a must have reference for every internal audit activity and chief audit executive s resource library.

Quality Assessment Manual for the Internal Audit Activity

Business & Money

CRMA

CCSA

PHD.

James Roth

Patrick Copeland CIA

Donald Espersen

Martha Catherine Judith Grobler

Management & Leadership

Information technology is a highly dynamic, rapidly changing environment. IT auditors are expected to stay current with the latest tools, technologies, and trends, and may need to do additional research to prepare for specific audits. This book is designed to help aspiring and active internal auditors take a step back and understand the general process and activities involved in conducting an audit around technology. A New Auditor s Guide to Planning, Performing, and Presenting IT Audits is primarily based on: The IIA s International Professional Practices Framework (IPPF) The IIA s Global Technology Audit Guides (GTAGs) ISACA s IS Guidelines, Standards, and Procedures Guidance issued by the Committee of Sponsoring Organizations of the Treadway Commission (COSO) Other relevant recognized industry standards and organizations 
 This book uses a simplified four-layer technology model of networks, operating systems, databases, and applications. It provides easily understandable concepts of the technology environment that can be applied in most organizations with little modification.

A New Auditor's Guide to Planning, Performing, and Presenting IT Audits

Nelson Gibbs

CISSP

Divakar Jain

Amitesh Joshi

Surekha Muddamsetti

Sarabjot Singh

After numerous discussions with other insurance auditors over the years, it was clear that there was a need for a comprehensive guide to help new auditors trying to perform their jobs and also help experienced auditors performing reviews in areas they had not previously audited. I have leveraged my experience as an underwriter, claim adjuster, and auditor as well as interactions with auditors at various insurance companies to incorporate best practices to write this book. --Seth Davis Insuring valuables, commercial or personal, has become a $750 billion per year industry in the United States alone. Insurance companies, unlike traditional manufacturing companies, often don't realize the true costs of their products when sold. Insurance comapnies rely on actuarial estimates to determine expected claim costs. When you consider the vast array of complex products, each one has unique underwriting and claim considerations that auditors should be aware of in order to mitigate risks. Risky Business provides readers with an overview of the P&amp;C industry and takes a closer look at background information on departments generally found in insurance companies. The book is intended to help insurance auditors effectively add value within an insurance company by helping it manage the risks and maintain compliance with laws and regulations. At the conclusion of various chapters, readers will find a helpful tool to develop an audit program.

Risky Business: Principles of Auditing Property and Casualty Insurance

CPCU

Seth A. Davis

The Internal Audit Foundation

Written through the collaboration of educators and practitioners, this textbook serves as a cornerstone for internal audit education. It covers key fundamentals of internal auditing that can be applied in an ever-changing business world, serving as a reference and training tool for internal audit practitioners. The textbook is completely aligned to The IIA s Code of Ethics and International Standards for the Professional Practice of Internal Auditing. The fourth edition includes online student and instructor tools that include case studies and leading generalized audit software packages and knowledge content from ACL, CaseWare IDEA, Wolters Kluwer s TeamMate, and Protiviti s KnowledgeLeader®. Supplemental teaching materials are available for instructors upon request. THE FOURTH EDITION HAS BEEN UPDATED TO REFLECT: The latest release of The IIA s International Professional Practices Framework (IPPF) and the Committee of Sponsoring Organizations of the Treadway Commission s (COSO s) exposure draft of the Enterprise Risk Management Aligning Risk with Strategy and Performance Framework. Emerging developments in technology, including a heightened focus on cybersecurity and the impact of associated risks to organizations. The latest information and data from the new COSO Fraud Risk Management Guide and data from the Association of Certified Fraud Examiners (ACFE). A robust discussion of the benefits of using data analytics to provide assurance as part of internal audit activities. Wolters Kluwer s latest version of TeamMate audit management software enhancements with improved case studies in end-of-chapter material as applicable. Protiviti s resource, KnowledgeLeader®, which has been integrated throughout the content in the form of relevant case study material at the end of each chapter, encouraging students to conduct further research and apply critical-thinking skills. Previous editions have been translated into French, Spanish, and Japanese and adopted by many universities around the world. This fourth edition promises to build on the success of this bestseller, significantly contributing to the internal audit profession s body of knowledge and introducing students to the dynamic world of internal auditing.

Internal Auditing: Assurance & Advisory Services, Fourth Edition

Urton L. Anderson

CCEP

Michael J. Head

Sridhar Ramamoorti

Cris Riddle

Mark Salamasick

Paul J. Sobel

The information security professional has evolved from computer operator to chief information security officer; from controlling punched cards to negotiating strategic plans, defining policies, documenting processes, managing technology, measuring performance, controlling costs, supporting business recovery and demonstrating regulatory compliance. This publication includes a case study and steps to: Compose an information security program Cement a relationship between an information security program and IT governance Design roles and responsibilities to ensure accountability Identify and allocate resources to achieve information security program objectives Determine if an information security program is achieving objectives

Stepping Through the InfoSec Program

Jennifer L. Bayuk

Isaca

This is a guide for new auditors that covers all the basics: from value proposition of internal audit to governance, risk, and compliance (GRC), the International Professional Practices Framework (IPPF), and how to conduct an audit. There is also guidance for experienced auditors who can reflect on what they should be doing. This book incorporates insights, stories, and tips, and has been shaped in such a way that it: Provides essential reading for new auditors navigating the auditing landscape for the first time Caters to highly skilled people from other professions, such as engineers and lawyers, through to health professionals, such as nurses Delivers team leaders with contemporary tools to assist in training new recruits Challenges veteran auditors with new ways of working to meet increasing stakeholder expectations Showcases contemporary thought leadership and research to inspire transformational leadership Links the basics of internal auditing through a series of sequenced events to the broader context Accommodates the many different pathways that people follow to move into an internal auditing role at all levels from auditors to chief audit executives (CAEs)

New Auditor's Guide to Internal Auditing

Bruce R. Turner

Team Leader s Guide to Internal Audit Leadership

Internal Audit Foundaiton

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