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Bank Audit Fundamentals: A Foundational Approach with Cross-Industry Practical Application (BANK)

Monday, November 7, 2016
10:00 AM - 12:00 PM (Eastern)

James Hallinan CPA CIA CFSA CBA

  • Format Webinar
  • Credits 2
  • Level Intermediate
  • Field of Study Auditing (2)


Banks continue to play a central role in the financial marketplace locally, regionally, nationally and internationally. The recent global financial crisis has, and is still having, a major impact on financial institutions in the U.S. and around the world. Ever expanding regulations and continuing economic challenges are having ongoing major ramifications on banks. Entity-wide audit programs must be founded on core audit fundamentals while balanced with strategic level focus to ensure effective overall independent assurance related coverage. This course explores the vital balance and integration of audit fundamentals and strategic level focus in practical application terms as it applies to entity wide audit programs, providing a framework with cross industry practical application potential and appeal. Our program provides big picture and detail level perspectives on banks and bank auditing today, with prospective commentary for tomorrow. Whether you just want to freshen up on audit fundamentals or want to hear and learn more about how banks function from the inside out, this program is a one-stop shop where you can experience it ALL in a highly informative and engaging setting!

Major Topics:

  • Banks and the banking industry: An overview
  • The ever evolving and expanding bank regulatory environment
  • The FDICIA / SOX connection
  • “New” COSO ICIF audit and control considerations
  • Bank and entity audit risk assessments
  • Governance / oversight keys and emphasis
  • Entity wide / level controls and the internal / control environment
  • Integrating financial, operations, and safety and soundness/ compliance audit objectives and approaches

Learning Objectives

  • Possess knowledge of banks, the banking industry, and related auditing fundamentals
  • Promote a positive, principle-based approach to bank audits with cross industry practical application appeal    
  • Understand the  importance and benefits of sound audit fundamentals and activities in organizations of all types and sizes
  • Identify ways to impact and strengthen your organization’s (and client organizations’) auditing programs and processes
  • Highlight strategic opportunities and practical application considerations for developing / expanding on an effective entity wide auditing framework for your organization and / or clients

Who should take this course:

Auditors seeking to enhance overall risk-based auditing programs and focus, building from a bank audit fundamentals base with cross-industry practical application awareness and appeal

Experience in auditing







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