SEMINAR: IT Auditing for the Non-IT Auditor
This is an in-person event. There will not be a virtual option available.
Parking: Parking will be free in designated parking lots with a parking pass. Information on parking will be sent out closer to the event.
Agenda:
- 8:00-8:30 Registration and Continental Breakfast (breakfast pastries and fruit will be available for breakfast)
- 8:30-12:00 CPE Seminar AM
- 12:00-1:00 Lunch (includes a sandwich or salad box)
- 1:00-5:00 CPE Seminar PM (includes an afternoon snack)
Lunch: Lunch choices are only guaranteed if you register no later than Friday, October 23 at Noon
Speaker: Danny M. Goldberg
Speaker Bio: Danny M. Goldberg is the Founder of GoldSRD (www.GoldSRD.com), a leading provider of Staff Augmentation, Executive Recruiting and Professional Development services. Danny is a well-known speaker on internal auditing and People-Centric Skills, co-authoring and coining the term People-Centric Skills: Communication and Interpersonal Skills for Internal Auditors, via Wiley Publications. This is the first book published specifically to address the wide-ranging topic of communication skills for internal auditors. It has been offered through the IIA and ISACA bookstores since July 2015 and has sold over 4,000 copies. People- Centric Skills, 2nd Edition, the follow-up to this critically acclaimed book, was published by Wiley in July 2020
Danny has over 22 years of professional experience, including five years leading/building internal audit functions. Danny was named as one of the Fort Worth Business Press 40 Under 40 for 2014.
He is a thought-leader in the profession, recognized through his numerous articles in trade magazines and consistent rating as a top speaker in the industry. Mr. Goldberg is also accredited as the Professional Commentator of the Bureau of National Affairs – Internal Audit: Fundamental Principles and Best Practices (Professional Commentator).
Mr. Goldberg is an active member of the Institute for Internal Auditors, both at a local and national level. Leadership roles include:
- Current IIA Dallas Advisory Board Chairman
- Former IIA Dallas Chapter Board Member and Programs Committee Co-Chair
- Former IIA Fort Worth Chapter Board Member and Programs Committee Co-Chair
- Former Member of the IIA North America Learning Committee (2015)
Seminar Description: A One-Day Course on the Basics of IT Auditing, Taught by a Non-IT Auditor. In today’s economy, all auditors must become multi-faceted and multi-purposed. Regardless of background, internal auditors must have the basic knowledge of IT auditing to understand the general concepts, understand IT terminology and how IT auditing is integral to general auditing. There is no complete view/opinion of one without looking at the other. This one-day course will take auditors through the basics of IT Auditing.
Learning Objectives
- Understanding of the basics of IT Auditing, including key terms and acronyms
- Learn the importance of the IT risk assessment and integration with the audit risk assessment
- Understand the difference between application controls and general controls and how to identify each
Agenda
I. Introduction and Background
a. Background
b. Topics to Cover
II. IT Risk Assessment
a. What is an IT Risk Assessment?
b. Understanding the IT Environment
c. IT Risk Frameworks
d. The Audit Plan
e. Mapping the IT and Business Environment
f. Heat Maps
III. General Computer Controls
a. Information Security
b. IS Operations
c. Application System and Maintenance
d. Database Implementation and Support
e. Network Support
f. System Software Support
IV. Pre and Post Implementation Audits
a. Key Concepts
b. Project Risk Management
c. Pre-implementation Review
d. Post-implementation Review
V. Auditing Application Systems
a. Auditing Application System Approach
b. Application Configuration
c. Input Controls
d. Data
e. Transaction Processing
f. Security
g. Reporting
h. Data Interfaces and Conversions
i. Benchmarking
VI. Auditing Security
a. Information Security Governance
b. User Access Administration
c. Technology Based Access Security Controls
d. Secure Systems Development
e. Incident Response
f. Remote Access and Third Parties
g. User Awareness and Training
h. Physical Security
i. Legal and Regulatory Compliance
VII. Segregation of Duties
VIII. Spreadsheets
Experience Level: Basic
Prerequisites: None
Recommended credit hours: 8 hours