What it Takes to be the Auditor-In-Charge

  • Accountant
  • CRMA
  • CPA/CFF
  • CFE
  • CGAP
  • CGFM
  • CIA
  • CMA
  • CPA (US)
  • CVA
  • CA - ICAEW
  • IAP
  • QIAL
  • ACCA
  • CBA/MCBA
  • CA - Ireland
  • CA - Scotland
  • CPA - Ireland
  • CFIRS
  • CWS

Published: November, 2021

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Before starting this self study program, please go through the instructional document.

  • Course Description
  • Course Qualification
  • Presenter
  • FAQ

Course Description

Overview

  • What it takes to be the AIC
    4 mins
  • Communication skill
    17 mins
  • Interpersonal skills
    27 mins
  • Leadership skills
    38 mins
  • Determine the audit scope
    54 mins
  • Draft audit report
    72 mins

Course Description

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, it 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 great deal 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 Preliminary Survey
    • Develop audit objectives
    • Determine the audit scope
    • Conduct an Entrance Conference
    • Supervise Fieldwork
    • Review Work paper 
    • Write Draft Audit Report
    • Conduct Exit Conference
    • Wrap Up
    • Follow Up

Learning Objectives

  • 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
  • Review the skills assessment tool provided to evaluate your AIC skills.

Recommended For

  • This CPE course is recommended for CPAs, CIAs, CGAPs, Internal as well as External Auditors, Staff Auditors, Compliance Auditors, and Internal Control Specialists seeking to learn about the skills needed and responsibilities of the AIC.

Who Should Attend?

  • Auditors
  • Certified Public Accountant (CPA)
  • CPA (Industry)
  • CPA - Mid Size Firm
  • CPA - Small Firm
  • Young CPA

Course Qualification

Webinar Qualifies For

  • 1.5 CPE Credit for Qualification in Internal Audit Leadership (QIAL)
  • 1.5 CPE Credit for Internal Audit Practitioner (IAP)
  • 1.5 CPE Credit of Auditing for Certified Public Accountants (CPA-US)
  • 1.5 CPE Credit of Internal Auditing for Certified Internal Auditors (CIA)
  • 1.5 CPE Credit for Certified Government Auditing Professional (CGAP)
  • 1.5 CE Credit for Certified Fiduciary & Investment Risk Specialist (CFIRS)
  • 1.5 CE Credit for Certified Wealth Strategist (CWS)
  • 1.5 General Credit for Accountant/Bookeeper
  • 1.5 CPD Credit for CA - ICAEW
  • 1.5 CPD Credit for Chartered Certified Accountants (ACCA)
  • 1.5 CPD Credit for Chartered Accountants - Ireland (CAI)
  • 1.5 CPD Credit for Chartered Accountants - Scotland
  • 1.5 CPD Credit for CPA - Ireland
  • 1.5 CPD Credit of Auditing for Certified Financial Forensics (CFF)
  • 1.5 CPE Credit of Auditing for Certified Fraud Examiner (CFE)
  • 1.5 CPE Credit for Certified Government Financial Manager (CGFM)
  • 1.5 CPE Credit of Auditing for Certified Management Accountants (CMA)
  • 1.5 CPE Credit of Auditing for Certified Valuation Analyst (CVA)
  • 1.5 CPE Credit of Auditing for Certified Business Appraiser/Master Certified Business Appraiser (CBA/MCBA)
  • 1.5 CPE Credit for Certification in Risk Management Assurance (CRMA)

Additional details

  • Course Level :
    Basic
  • Credits :
    1.5
  • Instructional Method :
    QAS Self Study
  • 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 through its website: www.NASBARegistry.org.

Presenter

About Presenter

Jonnie Keith, CIA, CFE, CGAP

Auditor, JonSherr Ent.

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. 

Faq

FAQs content

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Ratings and Review

4.5

19 Ratings

Excellent

11

Very Good

6

Average

2

Poor

0

Terrible

0

CD

Cindy Driest, CFE, CIA

Apr 5th, 2022

Excellent speaker.

CK

Cem Kocyigit,, Others

Dec 29th, 2021

it was good

JL

Jason Lapierre, CPA (US)

Nov 2nd, 2021

N/A

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