Description
This course includes how to best review the risks and considers the best approaches when auditing these activities. This comprehensive course explains the key objectives from Know Your Customer (KYC) to a close review of stress testing, equity, fixed income, alternative, money market, asset allocation, pensions, and counterparties. Multiple case studies are used to practice the concepts learned and prepare audit programs tailored to your organization’s characteristics.
What you will learn
Why You Should Attend:
You should attend this course because the complexity and related risks in the asset management world have grown and to review these activities effectively auditors must have a comprehensive understanding of the many elements involved.
Who Should Attend:
This course specifically designed for employees who are required to conduct internal audit assignments within asset management.
What You'll Learn:
You will learn about the general asset management control environment, and the key considerations when auditing KYC compliance requirements, traditional and derivative investments, money market funds, asset allocation and third parties.
Prerequisites Courses:
Fundamentals of Internal Auditing - OAG101
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