Guidelines to aid Fraud Risk Assessment and Internal Fraud Investigation

    /Marna   /Steuart speaker of compliance global
    Speaker: Marna Steuart
    Duration: 60 Minutes
    Product Code: 700042
    Level: Beginner
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Performing a Fraud Risk Management can seem like a daunting task for an organization.  In reality, it can be done using a template and brainstorming with internal auditors, certified fraud examiners and business unit leaders throughout your organization.  It doesn’t require having a CFE but it does help to have some exposure to fraud auditing and a mind for coming up with schemes that can occur in any control environment.  The Fraud Risk assessment can be built to tie in with current Sarbanes Oxley Internal Controls to help companies assess whether the current control environment can help deter fraud from occurring.

Internal Fraud investigations can cause a lot of stress for an auditor, but simply following a set of guidelines can help to assure that the proper sequence of events occurs during the investigation process.  It can sometimes determine the success or failure of an internal investigation.

why should you attend

With an increased awareness of fraud and the ongoing cost to organizations, an entity wide fraud risk assessment is imperative to all organizations.  According to the Association of Certified Fraud Examiners (ACFE) “Report to the Nations on Occupational Fraud and Abuse” published in 2012, it predicted that 5% of an organization’s revenue is lost to fraud.  Performing a fraud risk assessment is doable, and can provide internal audit and its organization peace of mind for having gone through the process.   Once it is completed, it only requires an annual review for additions of possible new fraud schemes and results from internal audit anti-fraud projects conducted during the year.

Internal Fraud investigations are stressful, no matter what the situation; someone has been accused of something that is against the internal code of conduct.  Having a template to follow in order to conduct a proper investigation is an integral part of conducting a complete and accurate investigation.  When performed in the sequence that will be provided in class, a complete and accurate investigation can be the result.

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Areas Covered

  • They key components of a Fraud Risk Assessment and Management Program
  • The template for a fraud risk assessment and examples of typical fraud schemes
  • How the template ties with Sarbanes Oxley Controls
  • Brainstorming your industry and the unique types of frauds that can occur
  • Confidential Investigation Guidelines
  • The proper steps to conducting an internal investigation
  • Commonly asked questions of a respondent

Learning Objectives

To be able to Create a Fraud Risk Assessment and perform an internal Fraud Investigation


This webinar will provide valuable assistance to all personnel in: 

  • Performing a Fraud Risk Assessment
  • Conducting an internal Fraud investigation


Marna Steuart has been in the audit industry for over twenty years. Ms. Steuart began her career with a Big Four firm as an external auditor, then as an internal auditor in several different capacities within several different industries. Ms. Steuart has performed internal audits, consulting engagements, vendor contract audits, collective bargaining contracts, construction contract audits of several third-party contracts and confidential investigations throughout her career as an internal auditor. She has first-hand knowledge of how to perform each type of audit and how to build an effective audit manual for all types of audits.

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