Smooth Sailing: How to run a Successful Risk-Based Audit

Starts 22 Sep 2023



Smooth Sailing: How to run a Successful Risk-Based Audit


Smooth sailing: Easy progress without impediment or difficulty (From Merriam-Webster’s online dictionary)

While internal auditing is not usually associated with clear skies and calm waters, we do have many techniques we can apply so our audits run smoothly. This highly interactive, one-day class includes a range of topics that prepare new auditors (or those auditors new to risk-based auditing) to address the challenges faced during an audit. It is part audit methodology, part project management and part communication skills – all combined to help auditors operate smoothly and efficiently to gain agreement from audit clients, streamline the reporting process and improve audit outcomes. It includes discussion of added challenges in a fully online environment.


New internal auditors, new audit managers and supervisors, or internal auditors who are just starting to use a risk-based approach


• Understand key techniques for a successful audit using a risk-based approach
• Identify what information should be communicated at each phase of the audit and WHY
• Learn how to avoid surprises and disagreements at the audit reporting phase

The class includes practical examples and full group discussions.


• Obtaining audit client buy-in during the planning phase: establishing objectives, risks, controls and the audit program (using a risk/control matrix)
• Getting audit client input throughout the fieldwork phase: sharing the facts of the findings
• Gaining agreement with the audit client on management action plans
• Identifying your key audience and critical information for the draft report
• Adjusting your method of communication to accommodate others’ needs or preferences
• Sharing information when you cannot meet in-person



Smooth Sailing: How to run a Successful Risk-Based Audit

This highly interactive class helps auditors become more efficient in their audit work and more effective in gaining agreement to address risks from audit clients.

Sign in to register


About the facilitator

Kelly Hogan

Experienced Professional in Auditing and Business Communication

Kelly Hogan’s experience includes over 25 years providing advice on techniques for risk management, control assessment and improvement, and written and oral communication. After a short time as a bank examiner, her career as an auditor started with financial and operational audits at the Federal Reserve Bank in St. Louis, Missouri, USA. She later moved to MasterCard International where she performed application audits, then managed a team of operational and IT auditors. After moving to Belgium for MasterCard, Mrs. Hogan served as the head of audit for its European subsidiary for five years. Since October 2006, Mrs. Hogan has been providing consulting and training worldwide, primarily for internal auditors and internal audit departments across public and private sectors and in various industries. She also conducts external quality assurance reviews for internal audit departments.