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Leadership in Internal Auditing - Building the Next Generation of Internal Auditing Leaders

Date(s): Jun 04, 2019 - Jun 05, 2019
Time: 8:15AM - 4:30PM
Registration Fee: $399.00
Cancellation Date: May 28, 2019
Location: JOHN M. KEEL LEARNING CENTER
City: Austin
Parking Info:

Parking for SAO, Professional Development courses is in Garage B (1511 San Jacinto Blvd.). The Garage signage may read 1511 San Jacinto or Garage B. The elevator in Garage B is not reliable. If you are unable to walk the stairs, please contact the professionaldevelopment@sao.texas.gov for alternate parking arrangements. Handicapped parking is free at the meters around the downtown area.

A course coordinator will Email you a parking permit prior to the course start date. A permit must be displayed or you will be ticketed.


Course Description

Why are there so many complaints about our audit managers in the workplace? Why do people who are promoted to a management position dread managing people? What are the essential skills for people management versus project management? How does the project manager’s role as applied to an internal auditing function differ from the every-day management of a business division?

“As the internal audit function continues to evolve, we are seeing a transformation in the skills and attributes required for success. The most effective internal auditor possesses a broad range of non-technical attributes in addition to deep technical expertise.” Richard Chambers, President & CEO of The Institute on Internal Auditors (IIA).


Leadership in an organization’s internal auditing division is far more challenging than for those auditors serving in external auditing functions. While external auditors come, and go, internal auditors must be aware of, navigate, and maintain their personal and professional relationships in the organization each day. Audit managers must be highly effective at their job, finding weaknesses of the organizational systems and culture, while still maintaining high performing working relationships with their organization leaders and their audit team members.   These dynamics must be managed while communicating what can be at times incredibly difficult and confronting findings and failures of the organization to leadership and teams on a routine basis.

 

Leading an audit team requires a balance of people and project management as well as mastery of eight essential leadership skills.


Potential CPE Credits: 16.0

Instruction Type: Live
Experience Level: INTERMEDIATE
Category: Behavioral Sciences

Course Objectives

Upon completion of this course, participants will be able to:

·          Master the prized attributes of highly effective internal audit managers including: leading with integrity, effective communication, team-building, giving and receiving positive and negative feedback, continuous learning through failures, relationship and trust building, effective management briefings and root-cause analysis.

·          Become facile at using audit leadership tools and techniques that will enhance your role as a leader and improve the performance of the audit team. In addition, use the tools and techniques to boost your profile in the organization and inspire and motivate your staff. This will include modern goal-setting methods, effective coaching, establishing hiring practices that will attract the best people, leading productive team and departmental meetings and mastering the art of persuasion.

·          Learn a project management framework to successfully lead any internal audit program function to success within the organization including scoping, planning, application of standards, surveying, team responsibilities, audit and staffing plans, supervisory roles, and quality control.

·          Hone your communication skills, both oral and written, and find new ways to help your team members reach their highest potential including facilitation, mediation, neuro-linguistic programming techniques, motivational interviewing and conflict resolution.

 

 

Course Outline

 

Day 1 – Why Can’t We All Just Get Along? The 8 Essential Practices of Leaders (Mini-Workshop)

 

Day 1 focuses heavily on soft-skills development that all managers must master to maintain high performance for themselves and their teams. This mini-workshop is adapted from Ms. Frisch’s highly reviewed Defying Gravity Leadership Workshop and is also soon to be available as two books on leadership publishing in 2017 (Change Yourself/Change Others and Lead Yourself/Lead Others).

 

·   The Illusion of Management Control in the Modern Workplace

·   Which direction do you and your team point? The Leadership Compass

·   The 7 Baggage’s that Sink Managers (and everyone else) in Organizations

·   No div class="aboutText" Nodiv class="aboutText"

·   It’s Your Fault (And that’s a good thing!)

·   The Emotionally Resilient Manager

·   The Power of Commitment

·   Excellence Over Perfection – Making Peace with the “F” Word

·   What me worry?

·   Swallow the Frog

·   What you Speak You Create

 

Day 2 Part 1 – Who’s in Charge Here? The Audit Leader/Project Manager

 

Day 2 Part 1 focuses on project management and successfully executing an audit as the Audit Manager from both a Strategic and Tactical standpoint using our 10-Step Framework for Success. Topics covered in Day 2 Part 1 include:

 

·   Standards Review

·   The 10-Step Framework for Success (Expectation, Communication, Mission, Strategy, Risk Assessment, Planning/Budgets, Assessing Skill Sets/Supervision, Infrastructure Development, Launch, Measurement/Quality Control)

·   Introduction to Root Cause Analysis

 

Day 2 Part 2 – What Did You Say? Critical Communication

 

Day 2 focuses on the various modes of communication involved in a successful audit and how the audit manager can ensure they and their team have mastered communication tools and techniques that work for internal communication within the audit team and external communication to the groups being audited. Topics covered in Day 2 Part 2 includes:

·   Team Performance (giving and receiving positive and negative feedback and appraisal of leader/team)

·   Essential Strategies for Reporting Findings (Exit Interviews/Written Reports/Management Briefings)

 


Instructors

Elizabeth Frisch

Elizabeth Frisch, Founder and CXO of The Thrival Company is a chemical engineer with over 25 years of experience leading business performance, engineering, organizational development and auditing programs.  She has conducted audits as a Lead Auditor and Audit Manager and been a trainer of auditors and auditing teams for more than a decade.  During her career she has worked with over 50 different industries, all levels of local, state, and federal governments as well as NGOs/NPOs.  She is the published author of Mission to Million$ - Taking Big Ideas and Making Them Reality (Available on Amazon.com). She is nationally recognized for developing a unique and trademarked approach to performance and behavior-based auditing as well as created a unique interviewing method called “The General to Specific Approach to Interviewing Effectively” which she teaches auditors during her training events.

 

Elizabeth has worked for an ISO9000/ISO14000/ISO18000 auditing registrar and in that capacity was responsible for auditing dozens of companies including U.S. military installations, pharmaceutical, oil and gas, power companies and research and development labs. While employed by the Texas Commission on Environmental Quality (TCEQ), Elizabeth developed the initial rules implementing their Clean Texas performance-based auditing program and worked extensively with the U.S. Environmental Protection Agency (USEPA) in aligning the TCEQ program with the EPA’s auditing program. Elizabeth has also developed a culture-change approach to auditing, implementing, and training companies internal audit teams for using audits to drive business performance.  This unique training approach focuses on 1) developing an audit approach that fits how an entity conducts business and aligns with strategic goals, 2) teaching personnel how to audit in a way that changes organizational culture and engages management to support continued high performance, and 3) identifying opportunities and measuring successes of the audit in business terms. 

 

She is a trained facilitator and has facilitated hundreds of retreats, events, training courses and workshops and is a keynote speaker on the topics of leadership, teams, auditing, and business performance.  She frequently works as a high performance executive leadership coach and is often hired to facilitate difficult dynamics and contentious meeting situations.  Her work in the for profit, non-profit, and governmental arenas allows her to bring a broad and unique perspective on how to combine the best practices in each model of business to create organizations that deliver on their vision and mission and have fun doing it!  From the plant floor to the top floor, Elizabeth is just as comfortable in a hard hat and boots as working with boards and C-level management.  In 2014, she was a Top 3 Finalist for the Austin Chamber of Commerce Small Business Leader of the Year out of hundreds of nominations for this award.

 

In her philanthropic pursuits, she is a donor and Development Chair for Impact Austin which is one of the largest women’s collective giving charities in the nation. Impact Austin has funded more than $5MM of projects making a huge impact in her hometown of Austin, Texas. She also works as a Senior Trainer for A Nurtured World, a 501(c)(3) non-profit best known for its 1house at a timeTM program which was awarded best “Learning in Action” in 2010 and “Best Sustainable Future Today” by the Austin Chronicle Best of Austin Awards for renovating low income homes to be utility efficient allowing low income homeowners to keep their homes.

 

Elizabeth jokes she is a ‘recovering engineer’ as she holds a degree in Chemical Engineering from Purdue University and used these skills to become a business performance systems auditor.  Having worked in so many realms, Elizabeth brings an insightful, broad-reaching and often humorous perspective on human nature and behaviors to each group she works with.

Evaluations of Elizabeth’s training to thousands of people across the U.S. has returned a result that 99.9% of them would refer others to her training events and as a consultant for their business performance program challenges!


Additional Information

TAC Rule 523.142(g) requires the CPE Sponsor to monitor individual attendance and assign the correct number of CPE credits. Participants will be asked to document their time of arrival and departure in compliance with this Rule. Additionally, attendance will be monitored throughout the day and CPE certificates will reflect actual attendance of each participant.

If you are making travel plans to come to Austin, we recommend making "refundable" air and hotel reservations or waiting until 14 days before the class to actually book your reservations. Courses are occasionally canceled or rescheduled due to low enrollment. We determine whether a course has enough participants 16 days prior to the course date. If we cancel or reschedule, we will email the participant and his or her billing contact no later than 14 days before the original class date.

The course coordinator will contact you with parking information. Handicapped parking is free at the meters around the downtown area.

Vending machines with Coca-Cola products and various snack items are available. There is also a refrigerator and microwave in our coffee bar area. Feel free to bring in your own drinks and food if you prefer.

You might want to bring a light sweater or jacket, as room temperatures vary.

To see answers to our Frequently Asked Questions, visit http://www.sao.texas.gov/training/faq.html.