An intensive professional development training course on
Investment Auditing
Mastering Financial Controls and Risk Management
Why Choose Investment Auditing Training Course?
The Investment Auditing Training Course offers an essential opportunity for audit professionals to enhance their knowledge and skills in reviewing complex investment portfolios. In today’s highly regulated and financially intricate environment, organisations require auditors who can not only ensure compliance but also add strategic value through informed investment oversight. This course delivers a robust foundation in investment auditing, combining regulatory knowledge, risk identification, and analytical techniques.
Through a hands-on, practical approach, the course enables participants to understand and evaluate diverse investment products, apply audit methodologies to complex financial instruments, and strengthen internal controls. Learners will explore valuation techniques, examine risk management systems, and gain insight into data analytics tools used to detect irregularities. Participants will leave with the confidence and capability to execute risk-based audits and deliver actionable insights that contribute to organisational resilience and compliance.
This Investment Auditing 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 Investment Auditing Course, participants will be able to:
- Evaluate investment governance frameworks effectively
- Apply specialised audit techniques to financial instruments
- Assess risk management controls in investment activities
- Implement compliance testing procedures aligned with regulations
- Formulate and present comprehensive investment audit reports
The Course Content
- 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
- 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
- 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
- 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
- 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
Certificate and Accreditation
- AZTech Certificate of Completion for delegates who attend and complete the training course
How Aztech Saudi Can Enhance Your Professional Career
At Aztech Saudi, we believe that professional development is the foundation of long-term career success. This training course is expertly designed to equip individuals with practical skills, forward-thinking strategies, and the confidence to navigate today’s dynamic work environments. Each course is delivered by subject matter specialists with extensive industry experience, ensuring that every learning experience is relevant, impactful, and aligned with real-world challenges. Whether you're looking to strengthen your technical expertise, enhance leadership abilities, or stay ahead of industry trends, Aztech Saudi provides the tools you need to elevate your performance and deliver measurable value to your organization.
Our training is more than just knowledge transfer—it’s a catalyst for career transformation. By participating in our courses, professionals gain a competitive advantage in their fields, improve their decision-making capabilities, and position themselves for new opportunities and leadership roles. We take pride in supporting individuals across various sectors and career stages, helping them unlock their full potential through high-quality, globally benchmarked learning experiences. With Aztech Saudi as your development partner, you’re not only investing in education—you're investing in a stronger, more successful future.
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