myCPE
myCPE

What it Takes to be the Auditor-In-Charge 1.5 Credits

Dec 09, 2024, 03:30 PM ET

What it Takes to be the Auditor-In-Charge 1.5 Credits

  • Jonnie Keith

    CIA, CFE, CGAP
  • Rating

    4.6
  • Published on

    December, 1969
  • Subject Area

    Auditing

Learning mode

Live Webinar
  • Access the course at your convenience
  • Take the assessment test
  • Get your certificate
  • Attend the live interactive session
  • Answer the polling questions
  • Get your certificate
Dec 09, 2024, 03:30 PM ET

Learning Objective

  • To discuss the key skills and attributes needed for the Auditor-In-Charge.
  • To discuss the key responsibilities of the Auditor-In-Charge.
  • To discuss the key IIA standards relative to the Auditor-In-Charge.
  • To review the skills assessment tool that has been provided to evaluate your AIC skills.

Course Overview

There is more than meets the eye when it comes to being an auditor-in-charge.

Leading an audit team not only requires a great deal of knowledge, but also requires dedication, efficiency, and effective leadership skills. Audit leaders today need to know how to run a team properly so that every project runs smoothly. In other words, they need the skills to lead with confidence because the Auditor-In-Charge (AIC) has a lot of responsibilities. They must provide directions to the audit team; assess the quality of the work of the audit team; provide ongoing communication to audit management and audit clients; develop the draft report; prepare for the exit conference; assess the performance of the audit team; and many other minor activities. 

The success of an audit engagement will often depend on how well the AIC carries out those functions. There are certain skills and attributes an AIC must master to successfully lead an audit engagement. This CPE webinar will help you understand the skills needed and the responsibilities of the AIC.

Major areas covered in this online Auditing CPE webinar:

Audit Standards Relative to the Auditor-In-Charge

  • IIA Standards
  • GAGAS Standards

Auditor-In-Charge Skills and Attributes

  • Audit Knowledge
  • Communication Skills
  • Organizational Skills
  • Interpersonal Skills 
  • Leadership Skills
  • Audit Skill Assessment Tool

Auditor-In-Charge Responsibilities

  • Conduct Pre-Audit Administrative Duties
  • Conduct a Preliminary Survey
  • Develop audit objectives
  • Determine the audit scope
  • Conduct an Entrance Conference
  • Supervise Fieldwork
  • Review Work paper 
  • Write a Draft Audit Report
  • Conduct Exit Conference
  • Wrap Up
  • Follow Up

Podcast Credits

Short Video Credits

On Demand Credits

Live Credits

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Add your qualification details to easily track your compliance. You can also add multiple qualifications for comprehensive coverage.

Additional Information

Credits

1.5

Course Level

Basic

Instructional Method

QAS Self Study
Group Internet Based

Pre-requisites

None

Advance Preparation

None

NASBA APPROVED

MY-CPE LLC, 1600 Highway 6 south, suite 250, sugar land, TX, 77478

MY-CPE LLC (Sponsor Id#: 143597) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors.

About Instructor

CPE/CPD Courses for CRMA, CPA/CFF, CFE Accountants | Jonnie Keith
Jonnie Keith , CIA, CFE, CGAP

Auditor, JonSherr Ent.

  • 4.6
  • rating
  • rating
  • rating
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Mr. Keith has over 50 years of audit experience and served as the Chief Audit Executive for the Metropolitan Atlanta Rapid Transit Authority (MARTA) for 12 years before his retirement in 2012.  His other audit experience includes serving as Operational Audit Manager for five years and was a Senior Auditor in the Contract Compliance Audit Branch at MARTA.  He was also a Senior Auditor at Norfolk Southern Railway, and a Bank Examiner at the Federal Reserve Bank of Atlanta. 


As the Chief Audit Executive for MARTA, he was responsible for administering the overall audit activities for the Department of Internal Audit including:

  • Providing the Board of Directors, the GM/CEO, MARTA Senior Management and appropriate government entities with independent analysis, appraisals, and recommendations concerning operational, information technology, contract compliance, and financial audits.
  • Directing the day-to-day activities for three audit managers, 12 auditors and the audit coordinator.
  • Developing an annual risk-based audit plan to maximize audit resources in addressing MARTA risks.
  • Assisting the Audit Committee Chair with the quarterly Audit committee meetings.
  • Developing and operating within the approved audit budget; and
  • Assisting the Board, the GM/CEO, and Management in other areas as necessary and requested.


He was a volunteer seminar instructor for the Institute of Internal Auditors. Some of the courses taught included: 

  • Writing Effective Audit Reports
  • Tools and Techniques for the Beginning Auditor
  • Communication Skills for Auditors
  • Leadership Skills for the Auditor-In-Charge
  • Audit Project Management
  • CIA Review Course

He has written three IIA Magazine articles including:

  • Killing the Spider, April 2005
  • Producing Quality Audit Reports, August 2018
  • Write Effective Audit Objectives, June 2020


He has provided training for the Association of Certified Fraud Examiners Annual Conference:

  • 2018 Bulletproofing Your Fraud Reports
  • 2019 Writing Effective Fraud Findings


He currently teaches audit webinars, including:

  • How to Write Effective Audit Observations
  • How to Put the Quality in Audit Reports
  • What It Takes to Be the Auditor-In-Charge
  • Report Writing Techniques for Audit Professionals
  • How to Assess Risks and Evaluate Controls


He has a degree in Economics from Clark Atlanta University.  His certifications include Certified Internal Auditor (CIA), Certified Fraud Examiner (CFE), and Certified Government Auditing Professional (CGAP).

Mr. Keith has been married over 50 years.  He also co-authored a book with his wife on marriage entitled “Tied Together – The Marriage Trinity”.  He has two daughters and five grandchildren. 

On Demand FAQs

What is Self Study (QAS)?

Self Study QAS (Quality Assurance Service) is a NASBA and other regulatory bodies approved program designed for Professionals to complete their Continuing Professional Education credits through self-paced, interactive courses that meet the highest standards of quality and compliance. We are approved by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies.

How do I earn CPE credits through self-study?

To earn CPE credits, you must complete the self-study course, pass the required assessments, and submit the necessary documentation. Credits are awarded based on the completion of course hours and successfully passing the assessments.

Are the self-study courses approved by NASBA and other regulatory bodies?

Yes, all our self-study courses are approved by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies, ensuring they meet the rigorous standards for quality and educational content set by these organizations.

What are the requirements to maintain compliance with self-study courses?

To maintain compliance, you must follow the guidelines set by NASBA and other regulatory bodies, which include completing the course within the specified timeframe, passing the assessments, and keeping accurate records of your learning activities.

How can I access my course completion certificates?

After successfully completing a self-study course and passing the assessments, you can access and download your course completion certificates from your account dashboard on our platform. These certificates are recognized by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies for compliance and reporting purposes.

How are credits reported to governing bodies?

We issue instant credit certificates, ensuring they are valid for presentation to governing bodies. Typically, we report IRS, CTEC, CFP, IDFP, IWI, VBOA Ethics credits within 7 days – the fastest in the industry.

Live Webinar FAQs

What is a Live Webinar Group Internet-Based Credit?

A Live Webinar Group Internet-Based Credit is an interactive, real-time online seminar where professionals can earn Continuing Education credits by participating in live sessions led by experts in various fields. These sessions meet the standards set by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies.

How do I earn credits through live webinars?

To earn credits, you must attend the entire live webinar, actively participate in any polls or questions, and complete any required evaluations or assessments. Credits are awarded based on your attendance and participation in the live session.

Are the live webinars approved by NASBA and other regulatory bodies?

Yes, all our live webinars are approved by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies, ensuring they meet the high standards for quality, interactivity, and educational content set by these organizations.

What are the requirements to maintain compliance with live webinar courses?

To maintain compliance, you must adhere to the guidelines set by NASBA and other regulatory bodies, which include attending the full duration of the webinar, participating in interactive elements, and completing any post-webinar evaluations or assessments.

How can I access my webinar completion certificates?

After successfully attending a live webinar and fulfilling all participation requirements, you can access and download your completion certificates from your account dashboard on our platform. These certificates are recognized by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies for compliance and reporting purposes.

How are credits reported to governing bodies?

We issue instant credit certificates, ensuring they are valid for presentation to governing bodies. Typically, we report IRS, CTEC, CFP, IDFP, IWI, VBOA Ethics credits within 7 days – the fastest in the industry.

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PC

Patricia Cipani, CIA

This My CPE reinforced my knowledge and provided additional information which allowed me to learn and think about new considerations. The webinar was very easy to access and supported an offering that fit my schedule.

GR

Gloria Riccardi, Others

This webinar should be attended by our whole firm. I can't wait to see his additional webinar schedule through myCPE. Thank you for having such a wonderful speaker.

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