Global Learning for Operational Leaders
Classroom
19 sessions
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Online / Live
19 sessions
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Introduction
Course overview
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.
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.
Complete course outline
Five focused days of learning and application
The timings provided are estimates and may vary depending on the number of participants and the discussions taking place during the sessions. They are indicative only and do not constitute a binding commitment.
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
- Coffee break
- Understanding fiduciary duties and responsibilities within investment management (continued)
- 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
- Coffee break
- Examining derivatives and complex investment products from an audit perspective (continued)
- 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
- Coffee break
- Assessing custody structures and asset safeguarding processes (continued)
- 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
- Coffee break
- Understanding regulatory frameworks affecting investment operations (continued)
- 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
- Coffee break
- Strengthening audit reporting and communication techniques (continued)
- 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 5 - 9 October 2026. See the course schedules section for the available dates and delivery formats.
Who should attend this course?
Internal and external auditors, Risk management professionals, Compliance officers
Is bilingual course delivery available?
Yes. All course materials and presentations are provided in English, while bilingual explanation and discussion support may be available depending on the selected location and trainer availability. For example, when attending a course in Istanbul, you may request a Turkish-speaking trainer to explain the English course content in Turkish. Arabic explanation support may also be requested at this location. Other languages are available in selected cities. You can choose your preferred language support as an optional preference during registration.
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?
Check the course schedules section for currently published classroom and Online / Live sessions.
Where are classroom sessions delivered?
Current classroom venues include London, Kuala lumpur, Amsterdam, Barcelona, Munich, Istanbul, Cape Town, Frankfurt.
How long is the training programme?
The programme runs for five days, with up to five training hours per day, from 9:00 AM to 2:00 PM. Each programme includes a total of 25 training hours.
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