The Change Agent, Auditor Essentials, and Operational Auditing Three-Book Set
CRC Press
978-1-041-03503-9 (ISBN)
Operational Auditing
Operational Auditing: Principles and Techniques for a Changing World, 2nd edition, explains the proven approaches and essential procedures to perform risk-based operational audits. It shows how to effectively evaluate the relevant dynamics associated with programs and processes, including operational, strategic, technological, financial and compliance objectives and risks. This book merges traditional internal audit concepts and practices with contemporary quality control methodologies, tips, tools and techniques. It explains how internal auditors can perform operational audits that result in meaningful findings and useful recommendations to help organizations meet objectives and improve the perception of internal auditors as high-value contributors, appropriate change agents and trusted advisors. The 2nd edition introduces or expands the previous coverage of: • Control self-assessments. • The 7 Es framework for operational quality. • Linkages to ISO 9000. • Flowcharting techniques and value-stream analysis • Continuous monitoring. • The use of Key Performance Indicators (KPIs) and Key Risk Indicators (KRIs). • Robotic process automation (RPA), artificial intelligence (AI) and machine learning (ML); and • Adds a new chapter that will examine the role of organizational structure and its impact on effective communications, task allocation, coordination, and operational resiliency to more effectively respond to market demands.
Auditor Essentials
Internal auditors must know many concepts, techniques, control frameworks, and remain knowledgeable despite the many changes occurring in the marketplace and their profession. This easy to use reference makes this process easier and ensures auditors can obtain needed information quickly and accurately. This book consists of 100 topics, concepts, tips, tools and techniques that relate to how internal auditors interact with internal constitutencies and addresses a variety of technical and non-technical subjects. Non-auditors have an easy-to-use guide that increases their understanding of what internal auditors do and how, making it easier for them to partner with them more effectively.
The Change Agent
John Taylor has been hired to transform the underperforming internal audit unit at InSports. The auditors are not reviewing what the audit committee and executive leadership consider essential for the organization’s success, their methodology is subpar, and their relationships with their clients are strained. The audit committee has been patient, but not anymore. Their mandate is clear: make clear improvements in one year or the function will be outsourced. This is the story of a visionary leader who needs a strategy to transform processes and deliver better results for stakeholders at all levels within the organization. The audit committee, all levels of management, and employees expect more from internal audit. Now, John must lead the group through 12 challenging months as they focus on what matters most when performing audit and advisory services. They must communicate results faster and better, leverage existing quality control and data analytics techniques, and, with every encounter, help the organization address strategic, operational, compliance, and financial risks. With similarities to "The Goal" and "The Phoenix Project" and leveraging Kotter’s 8-Step Process for Leading Change, follow John and the internal audit team from Boston to New York, San Francisco, London, and Buenos Aires, as they address almost insurmountable challenges in their transformation journey.
Dr. Hernan Murdock, CIA, CRMA is vice president, audit division for MIS Training Institute. He has held positions as director of training for an international audit and consulting firm, and various audit positions while leading and performing audit and consulting projects for clients in the manufacturing, transportation, high tech, education, insurance and power generation industries. Dr. Murdock is a senior lecturer at Northeastern University where he teaches management, leadership and ethics. He earned a DBA from Argosy University, Sarasota, Florida in 2007; a CSS from Harvard University, Cambridge, Massachusetts in 1996; and an MBA and BSBA from Suffolk University in 1992 and 1990, respectively. He also holds the following certifications: CRMA Certification in Risk Management Assurance (IIA), 2013; QAR Accreditation in Internal Quality Assessment/Validation (IIA), 2008; AchieveGlobal Leadership and Customer Service: Deliver and Develop Levels, 2007; IDC Certified Instructor (IIA), 2006; and CIA Certified Internal Auditor (IIA), 2001. He is the author of Auditor Essentials: 100 Concepts, Tools and Techniques for Success (CRC Press, 2019), Operational Auditing: Principles and Techniques for a Changing World (CRC Press, 2017), 10 Key Techniques to Improve Team Productivity (The IIA Research Foundation, 2011) and Using Surveys in Internal Audits (The IIA Research Foundation, 2009). He has also written articles and book chapters on whistleblowing programs, international auditing, mentoring programs, fraud, deception, corporate social responsibility, and behavioral profiling. Dr. Murdock has conducted audits and consulting projects, delivered seminars and invited talks, and made numerous presentations at internal audit, academic and government functions in North America, Latin America, Europe, Asia, and Africa.
Operational Auditing
1. Definition, Characteristics and Guidance 2. Objectives and Phases of Operational Audits 3. Risk Assessments 4. The 8 Es 5. Control Frameworks 6. Tools 7. Eight Areas of Waste 8. Quality Control 9. Documenting Issues 10. Continuous Monitoring 11. Change Management 12. Project Management 13. Auditing Business Functions and Activities 14. The Toyota Production System (TPS) 15. Conclusion
The Change Agent
About the Author Acknowledgments Disclaimer Prologue Main Characters Winter 1. Conditions and Urgent Need for Change 2. The Underperforming Internal Audit Department 3. Building a Coalition: Outreach Summary: Winter Spring 4. Creating a Vision and Strategy 5. Updating the Methodology 6. Improved Reporting 7. Training, Development, Coaching, and Mentoring 8. Communicating the Vision: Outreach Summary: Spring Summer 9. Measurement and Methodology Changes and Performance Evaluations 10. Providing Advisory Services 11. Empowering Employees 12. Remove Barriers to Action 13. Determining Future Resource Needs 14. Setback and Generating Short-Term Wins Summary: Summer Fall 15. Build on the Change and Consolidate Gains 16. Quality Assurance and Improvement Program (QAIP) 17. Institutionalize and Produce Even More Change Summary: Fall Epilogue
Auditor Essentials
Anonymous Polling/Voting. Anti-Bribery Act - UK 2010. Association of Certified Fraud Examiners (ACFE). Audit - Compliance. Audit - Financial. Audit - Integrated. Audit - Operational. Audit Committee. Audit Plan. Audit Program. Audit Universe. Balanced Scorecard. Basel. Behavioral Profiling. Benchmarking. Benford's Law. Board of Directors. Cause and Effect Diagram. CCCER/5C. Certifications. Charter. COBiT . Code of Ethics. Computer Assisted Audit Tools and Techniques (CAATT). Conflict of Interest. Consulting. Continuous Control Monitoring/Continuous Controls Auditing (CCM/CCA). Control Charts . Control Self-Assessment (CSA). Controls. Corporate Governance. COSO ERM. COSO IC-IF. Culture. Data Analytics. Deficiencies: Design and Operating. Dispersion Analysis. Dodd Frank Act. Due Diligence. Electronic Workpapers. Engagement Memo. E's. Ethics. Evidence. Fieldwork . Findings. Flowcharts . Focus Groups. Follow-up Audits. Force Field Analysis. Foreign Corrupt Practices Act (FCPA). Forensics. Fraud. Fraud Red Flags. Fraud Triangle. GANTT Charts. General Computer Controls (GCC). Histograms. IFRS. Information Systems Audit and Controls Association (ISACA). Information Technology (IT). Institute of Internal Auditors (IIA). Internal Auditors as Trusted Advisors. International Auditing. Interviewing. ISO. ITIL. Key Performance Indicators (KPI). Key Risk Indicators (KRI). Lean and Six Sigma. Mentoring and Coaching. Objectives. Pareto. Planning. Policies and Procedures. Project Management. Quality Assurance and Improvement Programs (QAIP). Questionnaires and Surveys. RACI Chart. Report to the Nations. Reporting. Risk. Risk Assessment. Risk-Control Matrix. Risk Management. Risk Universe. Risk-Based Auditing. Root Cause Analysis. Rotation Programs. Sampling. Sarbanes-Oxley Act. Scenario Analysis. Six Sigma. Standards. Testing. Tone at the Top. Training and Development. Whistleblowing Programs. Work Teams. Workpapers.
| Erscheint lt. Verlag | 24.1.2025 |
|---|---|
| Reihe/Serie | Security, Audit and Leadership Series |
| Zusatzinfo | 27 Illustrations, black and white |
| Verlagsort | London |
| Sprache | englisch |
| Maße | 156 x 234 mm |
| Gewicht | 2168 g |
| Themenwelt | Informatik ► Netzwerke ► Sicherheit / Firewall |
| Recht / Steuern ► Privatrecht / Bürgerliches Recht ► IT-Recht | |
| Wirtschaft ► Betriebswirtschaft / Management ► Rechnungswesen / Bilanzen | |
| ISBN-10 | 1-041-03503-9 / 1041035039 |
| ISBN-13 | 978-1-041-03503-9 / 9781041035039 |
| Zustand | Neuware |
| Informationen gemäß Produktsicherheitsverordnung (GPSR) | |
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