California Association of State Auditors

Compliance audits are a core activity of many, if not most, governmental auditors. Whether it’s coming from an internal customer or external customer, the question repeatedly asked is “Were they in compliance?”

 

This course presents a roadmap an auditor can follow in planning, executing, and reporting on a compliance audit. The roadmap starts with establishing objectives and continues through the stages of risk assessment, internal control evaluation, and substantive testing to arrive at results that meets the customer’s needs. Using practical exercises along the way, the roadmap integrates current audit standards, practices, and techniques into a comprehensive overview of the typical compliance audit.

 

The Compliance Audit Roadmap is a fundamentals course.  After this course participants will be able to:

 

·        Define workable audit objectives

·        Identify and evaluate significant risks and relevant controls

·        Conduct appropriate substantive testing

·        Document the audit results

 

 

Instructor: Mark Steinwert, CPA

 

Mark Steinwert has over 30 years of audit experience in state government including work on financial, compliance, and performance audits in addition to attestations. He is a CPA and provides Continuing Professional Education courses for working auditors to meet GAO audit standards requirements. He specializes in working with audit organizations to develop and present courses that effectively relate generally accepted and government auditing standards to program-specific audits. Mark also teaches