A Highly Interactive Training Course On

Investment Auditing: Mastering Financial Controls and Risk Management

Developing Advanced Skills for Modern Investment Portfolio Oversight

Investment Auditing: Mastering Financial Controls and Risk Management
Course Schedule

CLASSROOM

16-20 Jun 2025
Dubai
$5,950
17-21 Nov 2025
London
$5,950
Certificate
  • Coventry Academy Certificate of Attendance will be provided to delegates who attend and complete the course

Training Overview

Training Overview

This Investment Auditing: Mastering Financial Controls and Risk Management training course provides audit professionals with the essential knowledge and practical skills needed to effectively evaluate investment activities in today’s complex financial landscape. Investment auditing requires specialized expertise to identify risks, assess controls, and ensure compliance with regulations. By combining theoretical principles with real-life case studies, the course helps participants enhance their technical abilities, preparing them to deliver greater value to their organizations.

The course takes a practical approach, going beyond theory by equipping participants with the tools and techniques required to assess sophisticated investment portfolios. Through a deep dive into investment products, risk management frameworks, and regulatory compliance, participants will gain the skills needed to identify risks and control gaps more efficiently. Focused on advanced data analytics and forensic techniques, the course will teach participants how to uncover financial irregularities with greater precision. These specialized audit skills will strengthen their ability to conduct thorough, value-driven audits, leading to more accurate reporting and better decision-making. Ultimately, the skills acquired will be directly applicable to real-world investment auditing challenges, empowering professionals to make a significant impact in their organizations through enhanced auditing and risk management strategies.

This training course will feature:

  • In-depth analysis of investment types, valuation methodologies, and associated risks
  • Practical techniques for auditing complex financial instruments and derivatives
  • Regulatory compliance frameworks specific to investment operations
  • Advanced data analytics tools for detecting financial irregularities
  • Step-by-step audit planning and execution protocols for investment portfolios

What are the goals?

By the end of this 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

Who is this Training Course for?

This Investment Auditing training 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 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

How will this Training Course be Presented?

This 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.

The Course Content

Day One: Investment Universe and Governance Framework
  • 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
Day Two: Investment Products and Valuation Methodologies
  • 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
Day Three: Investment Operations and Control Environment
  • 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
Day Four: Risk Management and Compliance Frameworks
  • 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
Day Five: Advanced Audit Techniques and Reporting
  • 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

Anderson
Anderson
Aztech Training
Aztech Training