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Synopsis
Auditor's Risk Management Guide: Integrating Auditing and ERM is designed to be a comprehensive "how-to" book that provides the reader with guidance on performing a risk management-based audit. This is not a research study or a conceptual thesis; rather, it is a practical guide designed for the audit practitioner.
Following the passage of Sarbanes-Oxley and its strict corporate governance and accountability provisions, developing better risk management techniques is becoming more important to help meet higher audit committee expectations. That's where this guide comes in.
Auditor's Risk Management Guide is organized into two parts: risk management-based auditing and case studies. The first part provides a broad understanding of corporate governance, ERM principles, and different auditing approaches and also provides step-by-step instructions on how to execute the risk management-based audit. The second part includes 10 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 provide additional commentary to assist the reader in understanding the methodology.
Finally, a free companion CD-ROM is included with the book and provides an electronic version of the various work programs, checklists, and other tools illustrated throughout the book. The programs and checklists are presented in a question format to help the auditor understand what questions need to be asked and answered as he or she executes the methodology.
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About the Author
Paul J. Sobel, CPA, CIA, has 25 years of auditing experience at four Fortune 500 companies and a major international public accounting firm. He is currently Vice President, Internal Audit for Mirant Corporation, an international energy company based in Atlanta, Georgia. Prior to that he was Vice-President, Risk Assessment, for Aquila, Inc., an international energy company based in Kansas City, Missouri. He is a frequent speaker on ERM topics at conferences around the country and achieved Distinguished Faculty honors as an instructor of seminars for the Institute of Internal Auditors. During his career with Arthur Andersen, Mr. Sobel gained extensive experience performing and managing financial statement 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 instructed in the firm's risk consulting essentials course, and participated in the development of a risk management diagnostic tool. Mr. Sobel's career also included the Audit Director position at Harcourt Brace publishers in Orlando, Florida, and the International Audit Manager position with PepsiCo, based in Purchase, New York. He is a graduate of Washington University in St. Louis, Missouri, and is active in the Institute of Internal Auditors, both at the national and local levels.
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