Auditing Soft Controls - Online Classroom

In today's complex organisational environments, soft controls-such as organisational culture, leadership, ethics, and employee behavior-play a critical role in managing risks and promoting a culture of integrity. Unlike hard controls, which are tangible systems and procedures, soft controls are more intangible, but they significantly influence decision-making, risk management, and overall organisational effectiveness.

This training program is designed for internal auditors who want to develop the skills necessary to assess and audit soft controls within their organisation. The course focuses on the methods and techniques used to evaluate the effectiveness of soft controls and how these elements contribute to achieving organisational goals and mitigating risks.

Topics covered:

• Understanding Soft Controls: Participants will gain a deep understanding of what soft controls are, including their impact on behavior, ethics, decision-making, and overall organisational culture.
• Frameworks for Auditing Soft Controls: The course will explore various frameworks and approaches to auditing soft controls, providing auditors with a structured approach to assessing these intangibles.
• Internal Audit's Role in Soft Controls: Internal auditors will learn how to assess the influence of soft controls on risk management and corporate governance and how they can provide assurance and insights to leadership.
• Building an Audit Strategy for Soft Controls: The program will guide auditors through the process of developing a bespoke internal audit strategy tailored to evaluating soft controls in their organisation.
• Tools and Techniques for Auditing Soft Controls: Participants will be introduced to a range of practical tools and techniques to effectively audit soft controls, including surveys, interviews, observation, and data analysis methods.

Program Outcomes:

By the end of this training, participants will be able to:

• Understand the importance and impact of soft controls on organisational performance.
• Develop strategies for auditing soft controls in alignment with the organisation's goals and risk appetite.
• Assess and improve the effectiveness of soft controls using tailored audit approaches.
• Equip themselves with the necessary tools and techniques to audit soft controls effectively within their organisation.

This program is ideal for internal auditors looking to expand their audit skills, especially those responsible for evaluating and enhancing the less tangible, but equally critical, aspects of organisational control.

CPE Points: 7

Knowledge Level: Intermediate

Delivery Format: Facilitator-led training via Zoom (Note: This training program will be delivered in two 3-and-a-half-hour lessons, over two days using Zoom. Registrations will be strictly limited to 15 participants to allow maximum interaction in the online environment.)