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App Showcase: Internal Audit


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Indicators are everywhere. Use them to drive your audit plan. Consider your objectives that are not on track. Consider your risks that have been assessed as high. Consider escalated incidents that are a result of control failures. Consider your IT systems with an elevated risk profile. This application will show you how to use your organization’s indicators to guide audit areas, in addition to how to execute on that plan. In this presentation, you will see how to create simple audit requests, fieldwork programs, test procedures, audit review and issue management.

Presentation by: Jamie Gahunia, Application Manager, Resolver Inc.

Published in: Business
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App Showcase: Internal Audit

  1. 1. I am an App Manager at Resolver.
  2. 2. of stakeholders want internal audit to have a more active role in assessing strategic risks. say internal audit can facilitate and monitor effective risk management. say internal audit should alert management to emerging issues and changing scenarios. of respondents say internal audit should consult on business processes.
  3. 3. Business functions wrapped into a pre-configured version of Resolver’s new platform.
  4. 4. Five ready to go reports including audit report, issue status and remediation progress. Based on IPPF guidelines incorporating customer feedback from our audit leaders. From audit planning to fieldwork to review to reporting to issue management. Risk register and controls library can be shared with other applications. Email notifications are already set up for audit client and auditor. Three roles: Internal Auditor, Audit Manager and Audit Client
  5. 5. Compliance / Legal Teams Internal Audit Team IT/SOX team ERM team SOX/C-SOX team
  6. 6. Risk & Regulation Audit Improve Policy & Control Response Incident Report Investigate Analyze ImproveMonitor
  7. 7. Risk & Regulation Audit Improve Policy & Control Response Investigate Analyze ImproveMonitor Incident Report
  8. 8. Create New Audit Perform Fieldwork Audit Client Audit Team Audit Plan Continuous Monitoring Prepare Final Audit Report Information Request Create Issue / Action Plan Provide Update on Action Plan Follow up on Action Plan Risk Indicators Incident Monitoring Unusual transaction activity Objectives performance
  9. 9. Resolver Core is evolving every day with new features, functionality and enhancements.
  10. 10.