Investment activities involve complex financial instruments, operational risks, regulatory requirements, and governance responsibilities. This course provides participants with practical auditing techniques and control frameworks for assessing investment activities, strengthening risk management, evaluating compliance, and improving the effectiveness of investment oversight and assurance processes.
Auditing and Governance Risk and Compliance
Investment Auditing
Investment activities involve complex financial instruments, operational risks, regulatory requirements, and governance responsibilities. This course provides participants with practical auditing techniques and control frameworks for assessing investment activities, strengthening risk management, evaluating compliance, and improving the effectiveness of investment oversight and assurance processes.
Upcoming dates
Classroom
| Start date | End date | Location | Fee | Registration |
|---|---|---|---|---|
| London - United Kingdom |
€2,100 + VAT
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| Kuala Lumpur - Malaysia |
€1,425 + VAT
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| Amsterdam - Netherlands |
€2,125 + VAT
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| London - United Kingdom |
€2,100 + VAT
|
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| Barcelona - Spain |
€1,925 + VAT
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| Munich - Germany |
€2,125 + VAT
|
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| London - United Kingdom |
€2,100 + VAT
|
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| Istanbul - Türkiye |
€1,600 + VAT
|
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Online live
Remote
- Understand the investment environment and governance frameworks
- Apply auditing techniques to different investment products and portfolios
- Evaluate investment valuation methods and operational controls
- Assess investment risks and regulatory compliance requirements
- Apply analytical and forensic techniques in investment audits
- Improve reporting effectiveness and audit recommendations
- Strengthen oversight of investment management activities
This program is intended for professionals involved in Auditing and Governance Risk and Compliance.
- Internal and external auditors
- Risk management professionals
- Compliance officers
- Finance and investment professionals
- Audit managers and supervisors
- Governance professionals
- Professionals responsible for investment oversight and assurance
The course uses an interactive methodology combining practical exercises, case studies, workshops, discussions, audit simulations, financial analysis activities, and real-world investment auditing scenarios.
Day1
Investment Environment and Governance Foundations
- Understanding investment markets, structures, and investment ecosystems
- Reviewing investment policy frameworks and evaluation techniques
- Examining governance structures supporting investment activities
- Understanding fiduciary duties and responsibilities within investment management
- Identifying critical indicators affecting investment performance and risk
- Case study exercise on evaluating investment governance structures
Day2
Investment Instruments and Valuation Techniques
- Applying auditing approaches to fixed-income investment products
- Understanding evaluation methods for equity-based investments
- Reviewing risk assessment approaches for alternative investments
- Examining derivatives and complex investment products from an audit perspective
- Understanding fair value assessment principles and methodologies
- Practical workshop on investment valuation testing techniques
Day3
Investment Operations and Internal Controls
- Understanding investment transaction processing and settlement activities
- Reviewing portfolio reconciliation procedures and asset valuation calculations
- Examining management fees and expense verification approaches
- Assessing custody structures and asset safeguarding processes
- Evaluating performance measurement and attribution techniques
- Workshop on testing operational controls within investment functions
Day4
Risk Management and Compliance in Investment Activities
- Identifying and assessing market-related risks
- Understanding credit and counterparty risk assessment techniques
- Reviewing liquidity management and monitoring approaches
- Understanding regulatory frameworks affecting investment operations
- Examining anti-money laundering and customer verification requirements
- Case study on integrated investment risk assessment methodologies
Day5
Advanced Audit Techniques and Effective Reporting
- Applying data analytics techniques within investment auditing activities
- Understanding forensic methods for identifying irregularities and fraud indicators
- Applying root-cause analysis for audit findings and control weaknesses
- Strengthening audit reporting and communication techniques
- Understanding effective reporting practices for management and audit committees
- Developing personal action plans for professional growth and capability enhancement
SPARK Training Certificate of Completion is awarded to participants who attend and complete the full training course.
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