A Highly Interactive Training Course On
Investment Auditing: Mastering Financial Controls and Risk Management
Developing Advanced Skills for Modern Investment Portfolio Oversight
Course Introduction
This intensive five-day course is designed to equip audit professionals with the in-depth knowledge and practical skills needed to thoroughly assess and audit investment activities. In today’s increasingly complex financial environment, effective investment auditing demands specialized expertise to identify risks, evaluate internal controls, and ensure compliance with evolving regulations. Blending theoretical foundations with real-world case studies, this course empowers participants to strengthen their technical proficiency and drive greater value within their organizations.
Key highlights of the Investment Auditing training:
- Comprehensive exploration of various investment types, valuation techniques, and related risk factors
- Hands-on strategies for auditing complex financial instruments and derivatives
- In-depth coverage of regulatory frameworks governing investment operations
- Application of advanced data analytics to uncover financial irregularities
- A structured approach to planning and executing audits of investment portfolios
Training Objectives
By the end of this Investment Auditing training course, participants will be able to:
- Evaluate investment governance frameworks effectively
- Apply specialized audit techniques to financial instruments
- Assess risk management controls in investments
- Implement regulatory compliance testing procedures
- Formulate comprehensive investment audit reports
Training Methodology
This COPEX training course will utilize a variety of proven adult learning techniques to ensure maximum understanding, comprehension and retention of the information presented. This includes interactive lectures combined with practical exercises, case studies based on real-world scenarios, group discussions to share experiences, and simulation exercises that allow participants to apply investment auditing techniques. Participants will receive comprehensive course materials and will be encouraged to share their professional challenges.
Who should Attend?
This course is designed for audit professionals looking to enhance their specialized knowledge in investment auditing. It is suitable for those with intermediate knowledge of general auditing principles who wish to develop expertise in the investment domain.
This COPEX training course is suitable to a wide range of professionals but will greatly benefit:
- Internal audit professionals in financial institutions
- External auditors specializing in financial services
- Risk management professionals with audit responsibilities
- Compliance officers involved in investment oversight
- Financial controllers and investment operations managers
Course Outline
- Investment ecosystem and market structures
- Investment policy statement analysis techniques
- Governance structures for investment activities
- Fiduciary responsibilities in investment management
- Key risk indicators for investment activities
- Case study: Governance framework evaluation
- Fixed income securities auditing approaches
- Equity instruments evaluation techniques
- Alternative investments risk assessment methods
- Derivatives and structured products auditing
- Fair value hierarchy assessment procedures
- Practical exercise: Valuation testing techniques
Trade execution and settlement processes
Portfolio reconciliation and NAV calculation
Fee structures and expense verification
Custody arrangements and asset verification
Investment performance measurement and attribution
Workshop: Operational controls testing approaches
- Market risk identification and testing
- Credit and counterparty risk assessment
- Liquidity risk monitoring techniques
- Regulatory compliance frameworks overview
- AML/KYC requirements in investment operations
- Case study: Comprehensive risk assessment
- Data analytics in investment auditing
- Forensic techniques for fraud detection
- Root cause analysis methodologies
- Effective audit report writing techniques
- Audit committee reporting best practices
- Action planning: Personal development roadmap
Providers and Associations
Certificates
- COPEX Certificate of Attendance will be provided to delegates who attend and complete the course
Material published by Copex shown here is copyrighted. All rights reserved. Any unauthorized copying, distribution, use, dissemination, downloading, storing (in any medium), transmission, reproduction or reliance in whole or any part of this course outline is prohibited and will constitute an infringement of copyright.
COPEX Training is your gateway to professional growth, with over 20 years of experience turning potential into success. Each year, we deliver over 1,000 courses in 50+ countries, earning a stellar 98% satisfaction rate. Trusted by global giants like BP, the United Nations, and HSBC, we partner with top certification bodies to provide career-focused training that empowers individuals and drives organizational breakthroughs. Our mission? To transform the way professionals learn and grow in today’s fast-changing industries. Through expert insights, cutting-edge methods, and hands-on approaches, we equip you with the skills and confidence to tackle challenges, seize opportunities, and thrive in your career.
Led by a passionate leadership team and supported by a network of world-class trainers, COPEX Training connects professionals worldwide with life-changing opportunities. We are committed to excellence, ensuring every participant leaves with the tools, expertise, and confidence to conquer an ever-evolving world.
Frequently Asked Questions
This FAQ section provides quick answers to the most common questions about our services, procedures, and policies. We aim to make your experience with us as straightforward as possible. For further assistance, our support team is ready to help.
Enhanced Skills: Develop in-demand skills and knowledge in your chosen field.
Career Advancement: Improve your career prospects and increase your earning potential.
Increased Confidence: Gain confidence in your abilities and enhance your professional presence.
Networking Opportunities: Connect with other professionals and industry experts.
Improved Job Performance: Enhance your productivity, efficiency, and job satisfaction.
Personal Growth: Develop valuable personal and professional skills that can benefit you in all areas of life.
Experienced Instructors: Courses are delivered by highly qualified and experienced instructors with industry expertise.
Interactive Learning: Engaging and interactive learning methods, including workshops, simulations, case studies, and group discussions.
Practical Application: Focus on practical skills and real-world applications, enabling you to apply your learning immediately.
Flexible Learning Options: A variety of course formats available, including classroom training, online courses, and blended learning.
Certification & Recognition: Upon successful completion, you may receive industry-recognized certifications.
There are several ways to register in our public training courses:
Online – Browse the Training Plan, select the course of choice, click on the button
“Register Now” inside the course outline page.
E-mail – Send the details (name, company name, email address and training course of
choice) of your nomination to [email protected]
Telephone – +971 4 368 6886 or +971 50 106 2750
Upon successful registration, processing window will take not more than 24 hours from the time of registration. An email including the registration confirmation, invoice and joining instructions will be sent to the provided email address.
Published training course fees are inclusive of the training venue, training manual, writing materials, lunch and coffee breaks with refreshments over the entire duration of the training course.
The training course fee can be settled by either:
- Bank transfer
- Credit Card
Our training courses will run for 5 hours per day. The standard daily timing is from 8:30 am – 3:30 pm including the coffee/tea breaks and lunch.
Our training courses courses are being held at five-star hotels in prime and iconic destinations across the globe. Cities such as Amsterdam, Barcelona, Dubai, Geneva, Istanbul, Kuala Lumpur, London, Houston, New York, Paris, Vienna, Zurich, etc.
Once officially registered, we can assist by providing the corporate rates provided by the hotel where the training course will be conducted. Early confirmation will enable us to secure the room at reduced rates
Our cancellation policy varies depending on the circumstances presented. Generally, cancellations must be initiated in formal writing at least 14 days prior to the commencement date of the training course. Further, the option to shift an existing registration to another training course on a later date is possible. Otherwise, a full refund will be initiated.
Delegates who will attend and successfully complete the training course will earn a COPEX Certificate of Completion. This certification is designed to validate the successful knowledge transfer, and that the desired learning objectives and outcomes to further advance your professional competency are achieved.
We can customize this
training course for you!
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