Convince partnering and coordinating with the SOX team, External Auditors, management, and other testing groups to best address relevant risks to your organization, improve your organizations control environment, reduce redundant testing, and anticipate future team requirements.

More Uses of the External Audit Toolkit:

  • Analyze an entitys policies, procedures and controls related to IT strategy, risk, internal and External Audit, development and acquisition, cyber/information security, business continuity, and operational capabilities.
  • Provide an External Audit perspective on the current business processes, analyze accounting detail transactions, and support the development of a data repository tool.
  • Provide oversight and management of the External Audit support program to ensure efficient execution and effective collaboration with External Auditors related to Concur products.
  • Steer: interface with External Auditors and IT compliance on overall SOX program timelines, deliverables, knowledge transfer and resolving control related matters.
  • Be accountable for leading controls assurance or controls readiness projects associated with External Audits, internal audits and service organization controls reports, e.
  • Lead internal and External Audits and regulatory review to ensure compliance with applicable regulatory standards and internal security policies and controls.
  • Orchestrate: track and report on the progress of SOX control deficiencies and observations identified during the fiscal year and monitor remediation according to prescribed deadlines with External Audit organization and the audit committee.
  • Analyze, understand and articulate regulatory and contractual requirements and apply identified requirements to business operations when supporting regulatory / External Audits.
  • Be accountable for managing and developing remediation plans, ensuring observations from Internal Audit, External Audit and/or regulators are assessed and actioned quickly.
  • Initiate: vendor management assesses vendor performance, risk profiles and mitigation strategies, vendor mix, review and assess vendors internal controls and External Audits.
  • Establish and report on metrics to gauge penetration testing effectiveness, progress and key risk areas identified through internal and External Audits.
  • Warrant that your organization complies; partners with IT process and control owners and supports legal and regulatory deliverables, as process documentation, testing, and remediation for internal or External Audits.
  • Manage work with different stakeholders and External Auditors to maintain up to date documentation for scoping, testing and remediation of SOX controls.
  • Manage work with compliance department, it, and department managers to support annual external industry standard security and privacy audits conducted by External Audit firms.
  • Ensure you have evaluated and helped businesses select the best External Auditors for business to meet customer requirements, regulatory compliance and business requirements.
  • Manage work with teams across your organization and with internal and External Auditors to provide timely reports of evidence and upload evidence into tracking systems.
  • Confirm your design serves as the primary Finance interface with internal and External Auditors and coordinates all quarterly review and annual audit activities.
  • Coordinate information security internal audit, External Audit, regulatory and SOX review to help represent your organization from an information security and technology risk perspective.
  • Be accountable for generating and executing validation protocols to demonstrate compliance to a standard suitable for review by internal and External Auditors.
  • Ensure sent communications are appropriately kept per record management requirements and available for further internal / External Audits or review.
  • Ensure you consider; head interacting with internal auditors, External Auditors, and IT SOX teams to oversee information provided in support of SOX and internal audits.
  • Devise: function as a liaison with the internal audit function and External Auditors regarding matters of internal control over financial reporting and respond to audit findings; design and implement processes and procedures to remedy control findings.
  • Take specific ownership of the Cybersecurity actions resulting from internal and External Audit and compliance activity facilitate interaction between the relevant Cybersecurity teams from issue identification through to evidence collection and issue close out.
  • Manage work with internal and External Auditors to ensure that IT systems are supported and are in compliance with legal and organization requirements.
  • Lead internal and External Audit activities and analyze audit findings related to IAM and implement compensating or mitigating controls while partnering with key business personnel.
  • Manage work with legal, outside counsel, and other departments on compliance related issues and on any External Audits conducted by government officials.
  • Formulate: design provide documentation and communication of audit conclusions and test results to other internal audit department members, functions, External Auditors, vendors, etc.
  • Coordinate internal audit plans and activities with your organizations registered independent accounting organization to eliminate duplicate efforts and, where possible, reduce External Audit fees.
  • Ensure the security and integrity of all data systems and working with internal and External Auditors to verify the effectiveness of polices, processes, and procedures.
  • Drive issues and actions resulting from internal audit, regulatory review and External Audits to completion; work with action owners to gather and evaluate appropriateness of evidence.

 

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