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Event Profile

Seminar: Audit Institute (SAA5170120) CANCELLED

April 26 — May 1, 2020
Embassy Suites Hotel Charlotte
401 E MLK Boulevard
Charlotte, NC 28202 

ATTENTION: This event will be held via live-streaming. We will not be holding this as a live, in-person event at this time due to the rapidly evolving COVID-19 situation.

Join Community Banker University for this extended week of intense learning designed to meet your bank’s evolving needs, the expectations of the audit committee and the examiners. Our curriculum will expand your knowledge of auditing and banking whether you are a veteran auditor or new to the audit function.
After completing this fast-paced week, you will be ready for the challenges awaiting you as a Certified Community Bank Internal Auditor. Unique to this Institute is a pre-recorded session, digitally delivered to attendees to begin their learning prior to arriving at the Institute. We’ll cover all facets of internal audit by using the Internal Audit Lifecycle model.

Our units of study include:
Bank Internal Audit & Defining the Audit Function. In this unit you will receive the tools and step-by-step procedures to establish and maintain an effective internal audit function within your bank. You will also review:
  • The role of the internal auditor and his or her part in corporate governance,
  • The importance of internal controls,
  • The skillsets of internal auditors, and
  • The internal Audit Lifecycle.

Developing the Risk Model and Audit Universe. In this unit you will gain a thorough understanding of your business objectives, goals, and strategies, and design audits to support your bank. You will also learn how to:

  • Define risk, 
  • Establish a risk framework,
  • Create a systematic, disciplined approach to evaluate and improve the effectiveness of risk management, and 
  • Assess risk.

Developing the Audit Plan covers:

  • Scope
  • Frequency
  • Timing
  • Budgeting
  • Staffing
  • Outsourcing and co-sourcing internal audits

Designing and Executing the Audit Program introduces tools including: Internal control checklists, Policy checklists, Policy and procedure manuals, Audit programs and Data analytics.

This section is composed of four major topics including auditing assets, liabilities, operations, bank information systems and cybersecurity:

      Auditing Assets is a deep look at the interest earning components of the balance sheet including:

  • Loans
  • Allowance for Loan and Lease Losses and CECL        
  • How to audit an Excel spreadsheet
  • Other real estate owned and repossessed assets
  • Investments

      Auditing Liabilities covers the funding side of the bank including:

  • Deposits/Official Checks/Internal Use Accounts
  • Sampling methods
  • Confirmations
  • Bank Borrowing
      Auditing Operations teaches you about the business of banking as well as:
  • Auditing electronic banking including remote deposit capture, wire transfers, ACH and debit cards   
  • Preventing and detecting fraud 

      Bank Information Systems and Cybersecurity helps you understand and audit the bank’s information       technology including:

  • Structure and hardware of the bank information systems (BIS) center 
  • Functions of the operating system and application software 
  • Disaster recovery planning and testing 
  • Risk analysis system 
12:30 p.m.-1:00 p.m. 
1:00 p.m.-6:00 p.m.: Bank Internal Auditing – The Basics / Introduction to the Internal Audit Lifecycle
6:00 p.m.-6:30 p.m.Review 

8:00 a.m.-12:00 p.m.: Defining the Audit Function/Developing the Risk Model and Audit Universe
12:00 p.m.-1:00 p.m.: Lunch
1:00 p.m.-5:00 p.m.: Planning the Audit/Fraud
5:00 p.m.-5:30 p.m.: Review

8:00 a.m.-9:00 a.m.: Exam 
9:00 a.m.-12:00 a.m.: Data Analytics/Designing and Executing the Audit Program: Assets
12:00 p.m.-1:00 p.m.: Lunch
1:00 p.m.-5:30 p.m.: Designing and Executing the Audit Program: Assets
5:30 p.m.-6:00 p.m.: Review

8:00 a.m.-9:00 Exam
9:00 a.m.-12:00 p.m. Designing and Executing the Audit Program: Liabilities & Operations
12:00 p.m.-1:00 p.m.: Lunch
1:00 p.m.-5:30 p.m.: Designing and Executing the Audit Program: Liabilities & Operations
5:30 p.m.-6:00 p.m.: Review

8:00 a.m.-12:00 p.m.: Designing and Executing the Audit Program: Bank Information Systems 
12:00 p.m.-1:00 p.m.: Lunch
1:00 p.m.-5:00 p.m.: Bank Information Systems
5:00 p.m.-5:30 p.m.: Review

8:00 a.m-10 a.m.: Delivering Audit Results & Insights
10:00 p.m.-10:30 p.m.: Review 
10:30-11:30 a.m.: Exam

Who should attend: Auditing personnel—regardless of previous experience and training

49 CPE Credits

Program Level: Intermediate
Prerequisites: No previous experience and training necessary.
Delivery Method: Group-Live
Field of Study: Auditing

ICBA Member: $3,295 per week (with testing fee: $3,595)
Nonmember: $3,995 per week (with testing fee: $4,395)
Nonbanker: $4,195 per week (with testing fee: $4,595)

The registration fee allows for one (1) individual per registration to attend. 

ICBA Member: $300 total exam fee
Nonmember: $400 total exam fee

Certification Designation: Certified Community Bank Internal Auditor (CCBIA)

For more information, call 800-422-7285.

Registration, attendance or participation in an ICBA event constitutes an agreement by the participant to ICBA’s use and distribution (both now and in the future) of the participant’s image and/or voice in photographs, videos, digital media, electronic reproductions and audio files/recordings of and at such events and activities.

Mr. Mark Eich
Organization: CliftonLarsonAllen LLP

Mr. David Heneke
Organization: CliftonLarsonAllen LLP

Mr. Brian Pye
Organization: CliftonLarsonAllen LLP

Mr. EJ Tolentino
Organization: CliftonLarsonAllen LLP

Sessions information is not available at this time.

Track information is not available at this time.

Sponsor information is not available at this time.