Global Learning for Operational Leaders
Course AGRC-012
Investment Auditing
Investment activities involve complex financial instruments, operational risks, regulatory requirements, and governance... The outline covers Investment Environment and Governance Foundations, Investment Instruments and...
Classroom
0 sessionsOnline / Live
0 sessionsIntroduction
Course overview
Why Attend
Investment activities involve complex financial instruments, operational risks, regulatory requirements, and governance responsibilities. This course provides participants with practical auditing techniques and control frameworks for assessing investment activities, strengthening risk management, evaluating compliance, and improving the effectiveness of investment oversight and assurance processes.
Course Methodology
The course uses an interactive methodology combining practical exercises, case studies, workshops, discussions, audit simulations, financial analysis activities, and real-world investment auditing scenarios.
Course Objectives
By the end of this course, participants will be able to:
- Understand the investment environment and governance frameworks
- Apply auditing techniques to different investment products and portfolios
- Evaluate investment valuation methods and operational controls
- Assess investment risks and regulatory compliance requirements
- Apply analytical and forensic techniques in investment audits
- Improve reporting effectiveness and audit recommendations
- Strengthen oversight of investment management activities
Target Audience
- Internal and external auditors
- Risk management professionals
- Compliance officers
- Finance and investment professionals
- Audit managers and supervisors
- Governance professionals
- Professionals responsible for investment oversight and assurance
Target Competencies
- Investment auditing
- Risk assessment and management
- Financial analysis
- Regulatory compliance
- Internal control evaluation
- Data analysis and reporting
- Fraud detection techniques
- Governance and assurance practices
What you will achieve
Learning objectives
- Understand the investment environment and governance frameworks
- Apply auditing techniques to different investment products and portfolios
- Evaluate investment valuation methods and operational controls
- Assess investment risks and regulatory compliance requirements
- Apply analytical and forensic techniques in investment audits
- Improve reporting effectiveness and audit recommendations
- Strengthen oversight of investment management activities
Who should attend
Target audience
- Internal and external auditors
- Risk management professionals
- Compliance officers
- Finance and investment professionals
- Audit managers and supervisors
- Governance professionals
- Professionals responsible for investment oversight and assurance
- Target Competencies
Methodology
Learning approach
- The course uses an interactive methodology combining practical exercises, case studies, workshops, discussions, audit simulations, financial analysis activities, and real-world investment auditing scenarios.
Course content
Five focused days of learning and application
Day 1
Investment Environment and Governance Foundations
- Understanding investment markets, structures, and investment ecosystems
- Reviewing investment policy frameworks and evaluation techniques
- Examining governance structures supporting investment activities
- Understanding fiduciary duties and responsibilities within investment management
- Identifying critical indicators affecting investment performance and risk
- Case study exercise on evaluating investment governance structures
Day 2
Investment Instruments and Valuation Techniques
- Applying auditing approaches to fixed-income investment products
- Understanding evaluation methods for equity-based investments
- Reviewing risk assessment approaches for alternative investments
- Examining derivatives and complex investment products from an audit perspective
- Understanding fair value assessment principles and methodologies
- Practical workshop on investment valuation testing techniques
Day 3
Investment Operations and Internal Controls
- Understanding investment transaction processing and settlement activities
- Reviewing portfolio reconciliation procedures and asset valuation calculations
- Examining management fees and expense verification approaches
- Assessing custody structures and asset safeguarding processes
- Evaluating performance measurement and attribution techniques
- Workshop on testing operational controls within investment functions
Day 4
Risk Management and Compliance in Investment Activities
- Identifying and assessing market-related risks
- Understanding credit and counterparty risk assessment techniques
- Reviewing liquidity management and monitoring approaches
- Understanding regulatory frameworks affecting investment operations
- Examining anti-money laundering and customer verification requirements
- Case study on integrated investment risk assessment methodologies
Day 5
Advanced Audit Techniques and Effective Reporting
- Applying data analytics techniques within investment auditing activities
- Understanding forensic methods for identifying irregularities and fraud indicators
- Applying root-cause analysis for audit findings and control weaknesses
- Strengthening audit reporting and communication techniques
- Understanding effective reporting practices for management and audit committees
- Developing personal action plans for professional growth and capability enhancement
FAQ
Frequently asked questions
What does Investment Auditing (AGRC-012) cover?
This course covers Auditing and Governance Risk and Compliance through a structured five-day outline focused on practical application, discussion, and implementation planning.
When is the next available session?
The next scheduled session starts on Schedule on request, with additional classroom dates and mirrored Online / Live options listed in the course schedules section.
Who should attend this course?
Internal and external auditors, Risk management professionals, Compliance officers
How can I register for a session?
Use any Register button next to the available course dates to open the participant registration page and submit your booking request for the selected session.
Is this course available online as well as classroom-based?
Yes. The course detail page includes both classroom sessions and Online / Live sessions, with online options aligned to the same course dates for easier planning.
Where are classroom sessions delivered?
Classroom venues are confirmed in the schedule panel for each published session.
Still Have Questions?
Contact the academy team for course details, delivery options, and delegate guidance.
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