Auditor's Risk Management Guide: Integrating Auditing and ERM (2015)

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9780808040903: Auditor's Risk Management Guide: Integrating Auditing and ERM (2015)
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Auditor's Risk Management Guide: Integrating Auditing and ERM is a comprehensive how-to book that guides the reader on performing risk management-based audits. The book covers the Enterprise Risk Management Integrated Framework issued by the Committee of Sponsoring Organizations (COSO). Following the passage of Sarbanes-Oxley and its strict corporate governance and accountability provisions, developing better risk management techniques is becoming more important in meeting higher audit committee expectations. Written by an audit practitioner, that's where this practical guide comes in. The first part of the Auditor's Risk Management Guide provides a broad understanding of corporate governance, ERM principles, and different auditing approaches. It also provides step-by-step instructions on how to execute the risk management-based audit, including frequently asked questions. The second part of the book is devoted to detailed case studies that illustrate the risk management-based audit methodology and tools in different scenarios, beginning with a business risk assessment and working through common audit areas such as closing the books, accounts payable, and accounts receivable. Practice Pointers and Observations throughout provide additional commentary to assist the reader in understanding the methodology. A free CD-ROM is included with the book provides electronic versions of the various work programs, checklists, and other tools in the book. The programs and checklists are presented in a format that helps the auditor understand what questions need to be asked and answered as he or she executes the methodology. This 2015 edition of Auditor's Risk Management Guide contains the following: Discussion of COSOs updated internal control framework, often referred to as COSO 2013. The 17 principles of internal control are covered (Chapter 7), along with other updates related to COSO 2013 (Chapters 7, 11, and 15). Increased focus and discussion about the importance of considering upside risks as well as downside risks (i.e., recognizing when more risk must be taken on to pursue strategies, vs. mitigating or avoiding risks) (Chapters 1, 13, and 16). Introduces integrated reporting () and explains how links with risk management-based auditing (Chapter 15). Provides additional Frequently Asked Questions relating to new and emerging concepts, such as the boards role in ERM, the risk appetite framework, and audits role related to strategic planning and auditing strategic risks (Chapter 16). Updates other content for emerging concepts and relevant papers that have been issued. Also notes where appropriate that an update for COSO ERM has been announced, which may have notable impact on various parts of this book.

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About the Author:

Paul J. Sobel, CIA, CPA, has 30 years of auditing experience with large, publicly traded and private companies, as well as a major international public accounting firm. He is currently Vice President, Chief Audit Executive for Georgia-Pacific, LLC, a diversified forest products company located in Atlanta, Georgia. Prior to his current job, he held similar chief auditor positions with: Mirant Corporation, an energy company based in Atlanta, Georgia; Aquila, Inc., an international energy company based in Kansas City, Missouri; and Harcourt Generals publishing division, based in Orlando Florida. He also served as International Audit Manager with PepsiCo, based in Purchase, New York. In addition to his internal audit responsibilities at these companies, he has worked on developing and implementing enterprise risk management, internal control and compliance programs. During his career with Arthur Andersen, Paul gained extensive experience performing and managing financial statement audits and risk-based internal audits. He was active in firm-wide initiatives, including the development of the firm's risk assessment methodology and training. He also contributed to and taught the firm's risk consulting essentials course, and he participated in the development of a risk management diagnostic tool. Paul is currently serving on the Pathways Commission, which is charged with charting a national strategy for providing career pathways for the next generation of accountants. He recently finished a two-year term on the PCAOB's Standing Advisory Group. He is a graduate of Washington University, in St. Louis, Missouri, and is active in the Institute of Internal Auditors (IIA). He currently serves on the IIAs Board of Directors and Executive Committee as Vice Chairman, Professional Development. In the past he has served as President of the IIA Research Foundation and other volunteer positions. In addition to Auditors Risk Management Guide, he is co-author of the internal auditing textbook titled Internal Auditing: Assurance and Consulting Services. He is a frequent speaker on ERM topics at conferences, and is the contributing editor for the Risk Watch column in Internal Auditor magazine.

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Other Popular Editions of the Same Title

9780808033707: Auditor's Risk Management Guide: Integrating Auditing and ERM (2013)

Featured Edition

ISBN 10:  0808033700 ISBN 13:  9780808033707
Publisher: CCH Inc., 2013
Softcover

9780808026679: Auditor's Risk Management Guide: Integrating Auditing and ERM (2011)

CCH, 2011
Softcover

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