Financial Services Audit Certificate - European Union

Enhance your specialized knowledge and showcase your expertise in 11 key areas by completing The IIA’s Financial Services Audit Certificate™. Passing the program exam demonstrates your competency in today’s most relevant topics and distinguishes you from your peers.

This innovative self-study program (17 CPEs) is available exclusively through the convenient IIA Training OnDemand platform and includes:

  1. Assessing Cybersecurity Risk: Roles of the Three Lines of Defense
  2. Assessing Fraud Risks
  3. Auditing Capital Adequacy and Stress Testing for Banks
  4. Auditing Credit Risk
  5. Auditing Culture and Conduct
  6. EU Regulations
  7. Auditing Market Risk
  8. Auditing Model Risk Management
  9. Auditing Third Party Risk
  10. Foundations of Internal Auditing in Financial Services Firms
  11. Liquidity Risk Management
  12. Financial Services Audit Assessment Exam
  • Online Exam: Complete the exam at the date and time that works best for you within 90 days of finishing the learning program.
  • Certificate and Digital Badge: You will receive a PDF certificate suitable for printing and framing, and a digital badge that can easily be shared with your professional network.
products.sku: 1010.LMS.LM01.0200.01.01
$1,999.00
products.price.withdiscount: $1,999.00

Assessing Cybersecurity Risks: The Three Lines Model

Assessing Cybersecurity Risks: The Three Lines Model
$166.58

Assessing Fraud Risk

Assessing Fraud Risk
$166.58

Auditing Capital Adequacy and Stress Testing for Banks

Auditing Capital Adequacy and Stress Testing for Banks
$166.58

Auditing Credit Risk

Auditing Credit Risk
$166.58

Auditing Culture and Conduct

Auditing Culture and Conduct
$166.58

European Union Regulations

The recent economic landscape in the European Union (EU) has brought recovery to corporate activities which has reduced many of the worst fears about economic scarring and rising credit risk. The markets for equity and risky assets have maintained a striking buoyancy, making them more prone to new regulations and supervision. 

Amidst the complexities and changes, financial institutions must carry on; as such the internal audit function plays a crucial role in the ongoing maintenance and assessment of a bank’s internal control, risk management, and governance systems and processes – areas in which supervisory authorities have a keen interest. Both internal auditors and supervisors use risk-based approaches to determine their respective work plans and actions. 

This course explores the fundamentals of the regulatory environment in the EU and Eurozone/Euro area, the banking risk frameworks, international compliance and supervisory mechanisms that bolsters the internal audit’s key position in enabling solid communication, organizational governance, and compliance. The Institute of Internal Auditors International Professional Practices Framework (IPPF) serves as the bedrock from which transparent guidelines stem, providing a practical approach to sound and responsible internal audit activity.    

$166.58

Auditing Market Risk

Auditing Market Risk
$166.58

Auditing Model Risk Management

Auditing Model Risk Management
$166.58

Auditing Third-party Risks

Auditing Third-party Risks
$166.58

Foundations of Internal Auditing in Financial Services Firms

Foundations of Internal Auditing in Financial Services Firms
$166.58

Liquidity Risk Management

Liquidity Risk Management
$166.58

Financial Services Audit Assessment Exam - European Union

Financial Services Audit Assessment Exam - European Union
$166.62

Who will benefit from this course?

This certificate program is designed for chief audit executives, internal audit managers, senior and staff auditors, and consulting associates who wish to increase their proficiency in financial services internal auditing. The program provides participants with 17 hours of CPE. After completing this program, participants will be eligible to sit for the exam and earn their certificate.

Course Objectives

  • Demonstrate a firm understanding of the foundations of internal auditing in financial services.
  • Apply the concepts of The IIA’s International Professional Practices Framework and Financial Services Risk Framework, and other relevant frameworks to the organization’s strategy and objectives.
  • Demonstrate a working knowledge the regulatory landscape and of key risks facing financial services organizations.
  • Conduct financial services focused engagements in conformance with the International Standards for the Professional Practice of Internal Auditing.
products.alsopurchased

European Union Regulations

The recent economic landscape in the European Union (EU) has brought recovery to corporate activities which has reduced many of the worst fears about economic scarring and rising credit risk. The markets for equity and risky assets have maintained a striking buoyancy, making them more prone to new regulations and supervision. Amidst the complexities and changes, financial institutions must carry on; as such the internal audit function plays a crucial role in the ongoing maintenance and assessment of a bank’s internal control, risk management, and governance systems and processes – areas in which supervisory authorities have a keen interest. Both internal auditors and supervisors use risk-based approaches to determine their respective work plans and actions.

This course explores the fundamentals of the regulatory environment in the EU and Eurozone/Euro area, the banking risk frameworks, international compliance, and supervisory mechanisms that bolsters the internal audit’s key position in enabling solid communication, organizational governance, and compliance. The Institute of Internal Auditors Global Internal Audit Standards serves as the bedrock from which transparent guidelines stem, providing a practical approach to sound and responsible internal audit activity.

$59.00

Risk, Fraud, and Illegal Acts

For organizations that seek to maintain successful pathways towards consistent revenue, sustainability, reputational stability, and risk mitigation efforts, the topic of fraud prevention must be front and center in the minds of management.

In its 2020 Report to the Nations, the Association of Certified Fraud Examiners (ACFE) estimated close to $3.6 billion in losses attributed to fraud cases globally, which emphasizes the need to implement stark assessments to curtail opportunities for fraud. A strong anti-fraud stance is crucial to safeguarding market confidence, integrity, and public trust.

The comprehensive role of internal audit, together with the incorporation of The IIA Standards, encourages the inception of integrative approaches to detect and prevent illegal acts, while practitioners hold instrumental insight to establish the proper guardrails to foster an elevated level of scrutiny.

$89.00