Financial Services Audit Certificate - European Union

Enhance your specialized knowledge and showcase your expertise in 11 key areas by completing The IIA’s Financial Services Audit Certificate™. Passing the program exam demonstrates your competency in today’s most relevant topics and distinguishes you from your peers.

This innovative self-study program (17 CPEs) is available exclusively through the convenient IIA Training OnDemand platform and includes:

Assessing Cybersecurity Risk: Roles of the Three Lines of Defense
Assessing Fraud Risks
Auditing Capital Adequacy and Stress Testing for Banks
Auditing Credit Risk
Auditing Culture and Conduct
EU Regulations
Auditing Market Risk
Auditing Model Risk Management
Auditing Third Party Risk
Foundations of Internal Auditing in Financial Services Firms
Liquidity Risk Management
Financial Services Audit Assessment Exam

Online Exam: Complete the exam at the date and time that works best for you within 90 days of finishing the learning program.
Each course segment concludes with a short multiple-choice quiz, requiring an 80% score to pass. Participants can retake these quizzes as often as needed to achieve mastery. After completing all segments, participants must pass a 100 multiple-choice certificate exam. The exam allows up to three attempts before a retake fee is required. All assessments and exams are open-resource.
Certificate and Digital Badge: You will receive a PDF certificate suitable for printing and framing, and a digital badge that can easily be shared with your professional network.

SKU: 1010.LMS.LM01.0200.01.01

Price: $1,832.42

Your price: $1,999.00

Qty:

Assessing Cybersecurity Risks: The Three Lines Model

$166.58

Assessing Fraud Risk

$166.58

Auditing Capital Adequacy and Stress Testing for Banks

$166.58

Auditing Credit Risk

$166.58

Auditing Culture and Conduct

$166.58

European Union Regulations

The recent economic landscape in the European Union (EU) has brought recovery to corporate activities which has reduced many of the worst fears about economic scarring and rising credit risk. The markets for equity and risky assets have maintained a striking buoyancy, making them more prone to new regulations and supervision.

Amidst the complexities and changes, financial institutions must carry on; as such the internal audit function plays a crucial role in the ongoing maintenance and assessment of a bank’s internal control, risk management, and governance systems and processes – areas in which supervisory authorities have a keen interest. Both internal auditors and supervisors use risk-based approaches to determine their respective work plans and actions.

This course explores the fundamentals of the regulatory environment in the EU and Eurozone/Euro area, the banking risk frameworks, international compliance and supervisory mechanisms that bolsters the internal audit’s key position in enabling solid communication, organizational governance, and compliance. The Institute of Internal Auditors International Professional Practices Framework (IPPF) serves as the bedrock from which transparent guidelines stem, providing a practical approach to sound and responsible internal audit activity.

$166.58

Auditing Market Risk

$166.58

Auditing Model Risk Management

$166.58

Auditing Third-party Risks

$166.58

Foundations of Internal Auditing in Financial Services Firms

$166.58

Liquidity Risk Management

$166.58

Financial Services Audit Assessment Exam - European Union

$166.62

Who will benefit from this course?

This certificate program is designed for chief audit executives, internal audit managers, senior and staff auditors, and consulting associates who wish to increase their proficiency in financial services internal auditing. The program provides participants with 17 hours of CPE. After completing this program, participants will be eligible to sit for the exam and earn their certificate.

Course Objectives

Demonstrate a firm understanding of the foundations of internal auditing in financial services.
Apply the concepts of The IIA’s International Professional Practices Framework and Financial Services Risk Framework, and other relevant frameworks to the organization’s strategy and objectives.
Demonstrate a working knowledge the regulatory landscape and of key risks facing financial services organizations.
Conduct financial services focused engagements in conformance with the International Standards for the Professional Practice of Internal Auditing.

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Internal Control

Essentially, there are few activities within an organization that are more important to its success than maintaining internal control. Internal auditing adds value to the organization, as it provides management with assurance that adequate controls are in place, that they working as intended, and that any failures are investigated and remedied in a timely manner. This course introduces learners to types of controls, and how to interpret internal control concepts and types of controls. It describes the impact of organizational culture on the overall control environment and identifies the impact of organizational culture on individual engagement risks and controls. Finally, learners will gain an understanding of how to use an internal control framework to examine the effectiveness and efficiency of internal controls, and to apply globally accepted internal control frameworks appropriate to the organization.

$59.00

Mission of Internal Audit and the Internal Audit Charter

This course introduces you to the elements of the International Professional Practices Framework (IPPF), which facilitates consistent development, interpretation, and application of concepts, methodologies, and techniques useful to the profession of internal auditing. The framework provides a structural blueprint of how a body of knowledge and guidance fits together, and is intended to assist practitioners and stakeholders with their response to the expanding market for internal auditing. This course highlights the IPPF’s authoritative mandatory guidance, including the Definition of Internal Auditing, the International Standards for the Professional Practice of Internal Auditing (Standards), the Core Principles for the Professional Practice of Internal Auditing, and the Code of Ethics. Conformance with the Standards is essential in meeting the responsibilities of internal auditors and the internal audit activity. The IPPF also highlights recommended guidance, including Practice Guides and Global Technology Audit Guides (GTAGs).

$79.00

Risk Management

This course presents the fundamental concepts of risk and the risk management process, and the important role internal audit plays in the success of the organization. It describe globally accepted risk management frameworks, and expresses how to use a risk management framework to identify potential threats. Learners will gain an understanding of how to examine the effectiveness of risk management within processes and functions and how to recognize the appropriateness of the internal audit activity’s role in the organization’s risk management process.

$59.00

Ethical Behavior

Internal auditors are expected to behave ethically and in conformance with The IIA’s Code of Ethics. The IIA’s Code of Ethics includes two essential components. The principles — which internal auditors are expected to apply and uphold — are relevant to the profession and practice of internal auditing, and the rules of conduct describe behavior expected of internal auditors. The Code of Ethics applies to both parties and entities that provide internal audit services, and its purpose is to promote an ethical culture in the global profession of internal auditing. This course describes the importance of a code of ethics for internal auditors and identifies the principles of The IIA’s Code of Ethics. Further, this course summarizes the rules of conduct of The IIA’s Code of Ethics and expresses how to demonstrate individual conformance.

$79.00