3 WAYS TO REGISTER
QUESTIONS? Call 800-ASK-4FMS (800-275-4367)
Mail: Financial Managers Society
1 North LaSalle Street, Suite 3100
Chicago, IL 60602-4003
Fax: 312-578-1308
Internet: www.fmsinc.org/CALENDAR
Presorted
Standard
U.S. Postage
PAID
Wheeling, IL
Permit No. 38
Registration
October 7-8, 2014
NAME
Internal Audit Fundamentals
for Financial Institutions
TITLE
ORGANIZATION
MAILING ADDRESS
CITY, STATE, ZIP
Nashville, Tennessee | Sheraton Nashville Downtown Hotel
ASSET SIZE
PHONE
FAX
E-MAIL
Save $100 with
a Members-only
Team Discount!
FMS members and their
co-workers save $100
each when two or more
employees register for
this seminar. Simply
complete one form per
person and deduct $100
from each registration fee.
Internal Audit Fundamentals | October 7-8, 2014
○ FMS Member: $975
○ Coworker of Member: $1,075
○ Nonmember: $1,275
$
$
$
Please list any special accommodations (including dietary restrictions) you require.
Not an FMS member? Join now and save on registration!
○ FMS Regular Membership: $450
$
○ FMS Affiliate Membership: $495
$
Join FMS today at www.fmsinc.org/JOIN and not only will you
save $300 on the registration fees but you can also take advantage
of the year-round FMS member benefits.
TOTAL $
Card #
Exp. Date
Signature
Refunds and Cancellations
A refund minus a $150 processing fee will be provided for cancellations received by FMS in writing by
September 15, 2014. No refunds will be given for cancellations received after that date. A substitution from
your institution is welcome at any time.
FMS reserves the right to change instructors or reschedule/cancel sessions when necessary. FMS is not
responsible for airfare penalties incurred due to the cancellation of the program.
www.fmsinc.org
800-ASK-4FMS (800-275-4367)
o Check enclosed payable to Financial Managers Society
o Charge my MasterCard, Visa or American Express
1 North LaSalle Street, Suite 3100
Chicago, IL 60602-4003
METHOD OF PAYMENT Payment must accompany registration.
October 7-8, 2014
Nashville, TN
Please select from one of the following options. Call for details about team discounts.
Internal Audit Fundamentals
for Financial Institutions
REGISTER
Walk Through an Audit Project
from Start to Finish
Internal Audit Fundamentals
for Financial Institutions
A must-attend for those new to financial institution
internal auditing and veterans seeking a refresher!
Internal Audit Fundamentals for Financial Institutions is designed specifically for new internal
auditors or those with limited experience in the financial services industry just looking to brush
up on their skills. This hands-on seminar will walk you through a financial institution audit
project from start to finish and provide the perfect “how-to” for following approved standards
and applying the tools and techniques of internal audit within your institution’s processes.
Seasoned consultant, Raven Catlin, CIA, CFSA, CPA Consultant from Raven Global Training
will go in-depth covering topics ranging from the internal auditor’s roles and responsibilities
to process standards and best practices. A variety of industry-specific case studies, designed
to help solidify concepts discussed, will be completed throughout the program.
Participants Will Learn How To:
• Use risk identification and assessment techniques as well as audit planning
•Perform audit engagements and communicate audit results
•Identify and utilize essential tools and techniques to conduct an audit from beginning to end
•Discover the best techniques for gathering audit evidence and preparing work papers
This Seminar is Perfect for:
•
•
•
Internal Auditors
External Auditors
Risk Managers
About FMS
•
•
•
Credit Risk Officers
Loan Review Officers
Compliance Officers
For over 65 years, the Financial Managers Society’s network
of members has provided technical education to financial
professionals from community financial institutions through
conferences, seminars, webinars and publications.
For details on FMS membership benefits or how to become
a member, please visit www.fmsinc.org/JOIN or call
800-ASK-4FMS (800-275-4367).
Faculty
Agenda
Tuesday, October 7, 2014
Wednesday, October 8, 2014
8:00 am
8:00 am
8:30 am to 4:30 pm
8:30 am to 4:30 pm
What It Takes to Be An Internal Auditor
Today
•Definition of internal auditing
•Mandatory guidance
•Non-mandatory guidance
•Certifications
•The current internal audit model
•Roles and responsibilities for
internal auditors
Audit Engagement Planning
•Audit project planning techniques
•Engagement Level Risk Assessment tool
•Audit opening meetings
•Creating the audit program and
case study
Registration and Continental Breakfast
Interviewing
•Functions of interviews
•Best practices for interviews
•Building rapport
•Questioning techniques
•Active listening skills
•Seven must-ask questions
Information Technology and Fraud
Considerations
•Auditor responsibility for IT knowledge
•General controls and application controls
•Auditor responsibility for fraud
knowledge
•Red flags of fraud, including SAS 99
•Fraud concerns for banking and
financial institutions
Risk Assessments
•Risk concepts and terminology
•Controls concepts and terminology
•Control frameworks, including COSO
•Annual audit planning and case study
Continental Breakfast
Performing Tests of Controls and
Substantive Testing
•Gathering information
•Sampling
•Audit evidence
•Testing techniques
•Analysis and evaluation of information
•CAATs Tips
Engagement Documentation
Requirements
•Types of audit documentation
•Evaluation of process documentation
•Workpaper reviews
•Flowcharting for the real world
Writing Audit Observations
•Five elements of an audit observation
•Writing techniques
Communicating Audit Results
•Selling the results to management
•Conducting the exit conference
Performing Follow-Up Activities
•Reviewing management’s action plans
Raven Catlin, CIA, CFSA, CPA Consultant, Raven Global Training
Raven is a professional trainer and consultant with 15 years in internal auditing, audit
management and 11 years in internal audit and risk management training. Throughout her
internal audit career, she performed risk-based integrated audits for non-profits, mortgage
operations, capital markets, mortgage-backed securities, financial services, and more. After
holding internal audit positions with Bank of America, Freddie Mac and other financial
institutions, she held consulting positions and assisted several Fortune 500 companies in
establishing an internal audit department, redesigning internal audit processes and
implementing Sarbanes-Oxley programs.
Details
Location and Accommodations
Sheraton Nashville Downtown Hotel
623 Union Street
Nashville, TN 37219
Special FMS Room Rate: $199 Single/Double
Deadline for Rate: September 15, 2014
For Reservations Call: 1-888-447-9825
Identify yourself as an attendee of the Financial Managers Society program to receive
the preferred rate. If you are making reservations through a travel agent, be sure to request
that your reservation be placed in the FMS room block to guarantee the best rate.
Tax-Deductible Programs
An income-tax deduction may be allowed for educational expenses (including registration,
travel, meals and lodging) undertaken to maintain or improve professional skills. (Treas. Reg.
Sec. 1.162-5)
Attire
Business-casual attire is appropriate. Since hotel rooms are often cool, please bring
a jacket or sweater.
CPE
Earn up to 15.5 hours of CPE credit
Level: Basic to Intermediate
Prerequisites: None
Advance preparation: None
Field of Study: Auditing
Instructional Method: Live-Group
FMS is registered with the National Association of State Boards of Accountancy as
a sponsor of continuing professional education on the National Registry of CPE
Sponsors. State boards of accountancy have final authority on the acceptance of
individual courses. Complaints regarding sponsors may be addressed to: The
National Registry of CPE Sponsors, 150 Fourth Avenue, North, Suite 700, Nashville,
TN 37219-2417 Web: www.nasba.org.
For more information regarding administrative policies such as complaints or refunds,
call 800-ASK-4FMS (800-275-4367).
Internal Audit Fundamentals
for Financial Institutions
A must-attend for those new to financial institution
internal auditing and veterans seeking a refresher!
Internal Audit Fundamentals for Financial Institutions is designed specifically for new internal
auditors or those with limited experience in the financial services industry just looking to brush
up on their skills. This hands-on seminar will walk you through a financial institution audit
project from start to finish and provide the perfect “how-to” for following approved standards
and applying the tools and techniques of internal audit within your institution’s processes.
Seasoned consultant, Raven Catlin, CIA, CFSA, CPA Consultant from Raven Global Training
will go in-depth covering topics ranging from the internal auditor’s roles and responsibilities
to process standards and best practices. A variety of industry-specific case studies, designed
to help solidify concepts discussed, will be completed throughout the program.
Participants Will Learn How To:
• Use risk identification and assessment techniques as well as audit planning
•Perform audit engagements and communicate audit results
•Identify and utilize essential tools and techniques to conduct an audit from beginning to end
•Discover the best techniques for gathering audit evidence and preparing work papers
This Seminar is Perfect for:
•
•
•
Internal Auditors
External Auditors
Risk Managers
About FMS
•
•
•
Credit Risk Officers
Loan Review Officers
Compliance Officers
For over 65 years, the Financial Managers Society’s network
of members has provided technical education to financial
professionals from community financial institutions through
conferences, seminars, webinars and publications.
For details on FMS membership benefits or how to become
a member, please visit www.fmsinc.org/JOIN or call
800-ASK-4FMS (800-275-4367).
Faculty
Agenda
Tuesday, October 7, 2014
Wednesday, October 8, 2014
8:00 am
8:00 am
8:30 am to 4:30 pm
8:30 am to 4:30 pm
What It Takes to Be An Internal Auditor
Today
•Definition of internal auditing
•Mandatory guidance
•Non-mandatory guidance
•Certifications
•The current internal audit model
•Roles and responsibilities for
internal auditors
Audit Engagement Planning
•Audit project planning techniques
•Engagement Level Risk Assessment tool
•Audit opening meetings
•Creating the audit program and
case study
Registration and Continental Breakfast
Interviewing
•Functions of interviews
•Best practices for interviews
•Building rapport
•Questioning techniques
•Active listening skills
•Seven must-ask questions
Information Technology and Fraud
Considerations
•Auditor responsibility for IT knowledge
•General controls and application controls
•Auditor responsibility for fraud
knowledge
•Red flags of fraud, including SAS 99
•Fraud concerns for banking and
financial institutions
Risk Assessments
•Risk concepts and terminology
•Controls concepts and terminology
•Control frameworks, including COSO
•Annual audit planning and case study
Continental Breakfast
Performing Tests of Controls and
Substantive Testing
•Gathering information
•Sampling
•Audit evidence
•Testing techniques
•Analysis and evaluation of information
•CAATs Tips
Engagement Documentation
Requirements
•Types of audit documentation
•Evaluation of process documentation
•Workpaper reviews
•Flowcharting for the real world
Writing Audit Observations
•Five elements of an audit observation
•Writing techniques
Communicating Audit Results
•Selling the results to management
•Conducting the exit conference
Performing Follow-Up Activities
•Reviewing management’s action plans
Raven Catlin, CIA, CFSA, CPA Consultant, Raven Global Training
Raven is a professional trainer and consultant with 15 years in internal auditing, audit
management and 11 years in internal audit and risk management training. Throughout her
internal audit career, she performed risk-based integrated audits for non-profits, mortgage
operations, capital markets, mortgage-backed securities, financial services, and more. After
holding internal audit positions with Bank of America, Freddie Mac and other financial
institutions, she held consulting positions and assisted several Fortune 500 companies in
establishing an internal audit department, redesigning internal audit processes and
implementing Sarbanes-Oxley programs.
Details
Location and Accommodations
Sheraton Nashville Downtown Hotel
623 Union Street
Nashville, TN 37219
Special FMS Room Rate: $199 Single/Double
Deadline for Rate: September 15, 2014
For Reservations Call: 1-888-447-9825
Identify yourself as an attendee of the Financial Managers Society program to receive
the preferred rate. If you are making reservations through a travel agent, be sure to request
that your reservation be placed in the FMS room block to guarantee the best rate.
Tax-Deductible Programs
An income-tax deduction may be allowed for educational expenses (including registration,
travel, meals and lodging) undertaken to maintain or improve professional skills. (Treas. Reg.
Sec. 1.162-5)
Attire
Business-casual attire is appropriate. Since hotel rooms are often cool, please bring
a jacket or sweater.
CPE
Earn up to 15.5 hours of CPE credit
Level: Basic to Intermediate
Prerequisites: None
Advance preparation: None
Field of Study: Auditing
Instructional Method: Live-Group
FMS is registered with the National Association of State Boards of Accountancy as
a sponsor of continuing professional education on the National Registry of CPE
Sponsors. State boards of accountancy have final authority on the acceptance of
individual courses. Complaints regarding sponsors may be addressed to: The
National Registry of CPE Sponsors, 150 Fourth Avenue, North, Suite 700, Nashville,
TN 37219-2417 Web: www.nasba.org.
For more information regarding administrative policies such as complaints or refunds,
call 800-ASK-4FMS (800-275-4367).
Internal Audit Fundamentals
for Financial Institutions
A must-attend for those new to financial institution
internal auditing and veterans seeking a refresher!
Internal Audit Fundamentals for Financial Institutions is designed specifically for new internal
auditors or those with limited experience in the financial services industry just looking to brush
up on their skills. This hands-on seminar will walk you through a financial institution audit
project from start to finish and provide the perfect “how-to” for following approved standards
and applying the tools and techniques of internal audit within your institution’s processes.
Seasoned consultant, Raven Catlin, CIA, CFSA, CPA Consultant from Raven Global Training
will go in-depth covering topics ranging from the internal auditor’s roles and responsibilities
to process standards and best practices. A variety of industry-specific case studies, designed
to help solidify concepts discussed, will be completed throughout the program.
Participants Will Learn How To:
• Use risk identification and assessment techniques as well as audit planning
•Perform audit engagements and communicate audit results
•Identify and utilize essential tools and techniques to conduct an audit from beginning to end
•Discover the best techniques for gathering audit evidence and preparing work papers
This Seminar is Perfect for:
•
•
•
Internal Auditors
External Auditors
Risk Managers
About FMS
•
•
•
Credit Risk Officers
Loan Review Officers
Compliance Officers
For over 65 years, the Financial Managers Society’s network
of members has provided technical education to financial
professionals from community financial institutions through
conferences, seminars, webinars and publications.
For details on FMS membership benefits or how to become
a member, please visit www.fmsinc.org/JOIN or call
800-ASK-4FMS (800-275-4367).
Faculty
Agenda
Tuesday, October 7, 2014
Wednesday, October 8, 2014
8:00 am
8:00 am
8:30 am to 4:30 pm
8:30 am to 4:30 pm
What It Takes to Be An Internal Auditor
Today
•Definition of internal auditing
•Mandatory guidance
•Non-mandatory guidance
•Certifications
•The current internal audit model
•Roles and responsibilities for
internal auditors
Audit Engagement Planning
•Audit project planning techniques
•Engagement Level Risk Assessment tool
•Audit opening meetings
•Creating the audit program and
case study
Registration and Continental Breakfast
Interviewing
•Functions of interviews
•Best practices for interviews
•Building rapport
•Questioning techniques
•Active listening skills
•Seven must-ask questions
Information Technology and Fraud
Considerations
•Auditor responsibility for IT knowledge
•General controls and application controls
•Auditor responsibility for fraud
knowledge
•Red flags of fraud, including SAS 99
•Fraud concerns for banking and
financial institutions
Risk Assessments
•Risk concepts and terminology
•Controls concepts and terminology
•Control frameworks, including COSO
•Annual audit planning and case study
Continental Breakfast
Performing Tests of Controls and
Substantive Testing
•Gathering information
•Sampling
•Audit evidence
•Testing techniques
•Analysis and evaluation of information
•CAATs Tips
Engagement Documentation
Requirements
•Types of audit documentation
•Evaluation of process documentation
•Workpaper reviews
•Flowcharting for the real world
Writing Audit Observations
•Five elements of an audit observation
•Writing techniques
Communicating Audit Results
•Selling the results to management
•Conducting the exit conference
Performing Follow-Up Activities
•Reviewing management’s action plans
Raven Catlin, CIA, CFSA, CPA Consultant, Raven Global Training
Raven is a professional trainer and consultant with 15 years in internal auditing, audit
management and 11 years in internal audit and risk management training. Throughout her
internal audit career, she performed risk-based integrated audits for non-profits, mortgage
operations, capital markets, mortgage-backed securities, financial services, and more. After
holding internal audit positions with Bank of America, Freddie Mac and other financial
institutions, she held consulting positions and assisted several Fortune 500 companies in
establishing an internal audit department, redesigning internal audit processes and
implementing Sarbanes-Oxley programs.
Details
Location and Accommodations
Sheraton Nashville Downtown Hotel
623 Union Street
Nashville, TN 37219
Special FMS Room Rate: $199 Single/Double
Deadline for Rate: September 15, 2014
For Reservations Call: 1-888-447-9825
Identify yourself as an attendee of the Financial Managers Society program to receive
the preferred rate. If you are making reservations through a travel agent, be sure to request
that your reservation be placed in the FMS room block to guarantee the best rate.
Tax-Deductible Programs
An income-tax deduction may be allowed for educational expenses (including registration,
travel, meals and lodging) undertaken to maintain or improve professional skills. (Treas. Reg.
Sec. 1.162-5)
Attire
Business-casual attire is appropriate. Since hotel rooms are often cool, please bring
a jacket or sweater.
CPE
Earn up to 15.5 hours of CPE credit
Level: Basic to Intermediate
Prerequisites: None
Advance preparation: None
Field of Study: Auditing
Instructional Method: Live-Group
FMS is registered with the National Association of State Boards of Accountancy as
a sponsor of continuing professional education on the National Registry of CPE
Sponsors. State boards of accountancy have final authority on the acceptance of
individual courses. Complaints regarding sponsors may be addressed to: The
National Registry of CPE Sponsors, 150 Fourth Avenue, North, Suite 700, Nashville,
TN 37219-2417 Web: www.nasba.org.
For more information regarding administrative policies such as complaints or refunds,
call 800-ASK-4FMS (800-275-4367).
3 WAYS TO REGISTER
QUESTIONS? Call 800-ASK-4FMS (800-275-4367)
Mail: Financial Managers Society
1 North LaSalle Street, Suite 3100
Chicago, IL 60602-4003
Fax: 312-578-1308
Internet: www.fmsinc.org/CALENDAR
Presorted
Standard
U.S. Postage
PAID
Wheeling, IL
Permit No. 38
Registration
October 7-8, 2014
NAME
Internal Audit Fundamentals
for Financial Institutions
TITLE
ORGANIZATION
MAILING ADDRESS
CITY, STATE, ZIP
Nashville, Tennessee | Sheraton Nashville Downtown Hotel
ASSET SIZE
PHONE
FAX
E-MAIL
Save $100 with
a Members-only
Team Discount!
FMS members and their
co-workers save $100
each when two or more
employees register for
this seminar. Simply
complete one form per
person and deduct $100
from each registration fee.
Internal Audit Fundamentals | October 7-8, 2014
○ FMS Member: $975
○ Coworker of Member: $1,075
○ Nonmember: $1,275
$
$
$
Please list any special accommodations (including dietary restrictions) you require.
Not an FMS member? Join now and save on registration!
○ FMS Regular Membership: $450
$
○ FMS Affiliate Membership: $495
$
Join FMS today at www.fmsinc.org/JOIN and not only will you
save $300 on the registration fees but you can also take advantage
of the year-round FMS member benefits.
TOTAL $
Card #
Exp. Date
Signature
Refunds and Cancellations
A refund minus a $150 processing fee will be provided for cancellations received by FMS in writing by
September 15, 2014. No refunds will be given for cancellations received after that date. A substitution from
your institution is welcome at any time.
FMS reserves the right to change instructors or reschedule/cancel sessions when necessary. FMS is not
responsible for airfare penalties incurred due to the cancellation of the program.
www.fmsinc.org
800-ASK-4FMS (800-275-4367)
o Check enclosed payable to Financial Managers Society
o Charge my MasterCard, Visa or American Express
1 North LaSalle Street, Suite 3100
Chicago, IL 60602-4003
METHOD OF PAYMENT Payment must accompany registration.
October 7-8, 2014
Nashville, TN
Please select from one of the following options. Call for details about team discounts.
Internal Audit Fundamentals
for Financial Institutions
REGISTER
Walk Through an Audit Project
from Start to Finish
3 WAYS TO REGISTER
QUESTIONS? Call 800-ASK-4FMS (800-275-4367)
Mail: Financial Managers Society
1 North LaSalle Street, Suite 3100
Chicago, IL 60602-4003
Fax: 312-578-1308
Internet: www.fmsinc.org/CALENDAR
Presorted
Standard
U.S. Postage
PAID
Wheeling, IL
Permit No. 38
Registration
October 7-8, 2014
NAME
Internal Audit Fundamentals
for Financial Institutions
TITLE
ORGANIZATION
MAILING ADDRESS
CITY, STATE, ZIP
Nashville, Tennessee | Sheraton Nashville Downtown Hotel
ASSET SIZE
PHONE
FAX
E-MAIL
Save $100 with
a Members-only
Team Discount!
FMS members and their
co-workers save $100
each when two or more
employees register for
this seminar. Simply
complete one form per
person and deduct $100
from each registration fee.
Internal Audit Fundamentals | October 7-8, 2014
○ FMS Member: $975
○ Coworker of Member: $1,075
○ Nonmember: $1,275
$
$
$
Please list any special accommodations (including dietary restrictions) you require.
Not an FMS member? Join now and save on registration!
○ FMS Regular Membership: $450
$
○ FMS Affiliate Membership: $495
$
Join FMS today at www.fmsinc.org/JOIN and not only will you
save $300 on the registration fees but you can also take advantage
of the year-round FMS member benefits.
TOTAL $
Card #
Exp. Date
Signature
Refunds and Cancellations
A refund minus a $150 processing fee will be provided for cancellations received by FMS in writing by
September 15, 2014. No refunds will be given for cancellations received after that date. A substitution from
your institution is welcome at any time.
FMS reserves the right to change instructors or reschedule/cancel sessions when necessary. FMS is not
responsible for airfare penalties incurred due to the cancellation of the program.
www.fmsinc.org
800-ASK-4FMS (800-275-4367)
o Check enclosed payable to Financial Managers Society
o Charge my MasterCard, Visa or American Express
1 North LaSalle Street, Suite 3100
Chicago, IL 60602-4003
METHOD OF PAYMENT Payment must accompany registration.
October 7-8, 2014
Nashville, TN
Please select from one of the following options. Call for details about team discounts.
Internal Audit Fundamentals
for Financial Institutions
REGISTER
Walk Through an Audit Project
from Start to Finish