Description:
CPE Hours: 8
INTRODUCTION
During the course of an auditor’s career, there will be times when confrontations arise with audit clients or stakeholders, and it is important to manage such occasions professionally during audit engagement. Confrontations may arise due to communication obstacles such as a lack of empathy and rapport building during interviews. They can also result from the discovery of deceptions.
This course adopts a practical approach to identify and to improve questioning and feedback techniques, as part of an overall strategy to reduce the chances of confrontations with audit clients. Auditors can also learn to confront and challenge interviewees upon the discovery of deceptions.
LEARNING OUTCOMES
The workshop will be delivered based on active learning and interactive approach through case studies, group exercises, sharing sessions and role plays to deepen learning.
COURSE OBJECTIVES
Confrontations
- Communication obstacles resulting in confrontations
- Discovery of two types of deceptions; concealment and falsification; leading to confrontations
- Distinguish between professional and personal confrontations
Rules of engagement during confrontations
- Professional
- Respect
- Objective
Questioning techniques
- Overview of PEACE model and application to interviews
- 5W1H and Funnelling techniques
- Use of open and closed questions for probing
Feedback techniques
- Rapport building and empathy to reduce chances of confrontations
- Active listening on what is said, and what is not said
- “Sandwich approach” to providing feedback
Develop your conceptual framework for confrontational interviews
- Responses to challenges to authority
- Responses to challenges to opinion
- Responses to challenges to character
- Confront/challenges the interviewee
WHO SHOULD ATTEND
Internal auditors.
MEET THE TRAINER
Mr. Roy Leong
Lead Principal Auditor, Compliance and Anti-Financial Crime, APAC
Deutsche Bank
Mr Roy Leong is the Lead Principal Auditor for Compliance and Anti-Financial Crime, APAC in Deutsche Bank. He has previously held roles in Anti-Money Laundering investigations and employee misconduct investigations at Deutsche Bank. Prior to Deutsche Bank, Roy was a Senior Director with Kroll’s Financial Investigations practice where he led teams from multi-disciplinary backgrounds on complex investigations. Early in his career, Roy started out as an external auditor with one of the Big Four accounting firms before he moved on to internal audit and risk consulting.
REGISTRATION
Please email the completed registration details as per the excel form to IIA Academy at iia-academy@iia.org.sg. We will update you upon successful registration of the mentioned seminar. PAYMENTFor more details about payment modes, please click HERE.
IMPORTANT NOTE
- Please email the completed registration details as per the excel form to IIA Academy at iia-academy@iia.org.sg. We will update you upon successful registration of the mentioned seminar.
- Once the course is confirmed, an email confirmation will be sent to the registrants’ contact email addresses 1 week prior to the course commencement date.
- If you do not receive any email notification regarding your course registrations, please call IIA Academy at 6324 9029 ext 2004 or 2005.
TERMS AND CONDITIONS
- Registered participants will be liable for the full registration fee in the event of non-attendance.
- A processing fee of $100 will be imposed for any cancellation. Cancellation must be submitted in writing 7 working days prior to the event date and subject to IIAS’s approval. Substitutions will be permitted and conditions will apply.
- Full payment must be received prior the course commencement.
- Contact Person will be notified VIA EMAIL upon successful registration of the course.
- Complimentary parking, if any, will be provided on a first-come-first-served-basis.
- IIAS reserves the right to revise the programme as necessary.
- IIAS reserves the right to cancel or postpone the training should the minimum class size is not met.
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