Small Acts of Kindness Work Wonders with Audit Clients

Reading Time: 2 minutes The phrase “it is better to give than to receive” is applicable to most areas of our lives. Studies have shown that those who participate in volunteer activities live better lives. Further, contrary to popular belief, nice guys do not finish last. Acts of kindness are important to build relationships of trust and respect.

I was fortunate to work with a few experienced professionals early in my career who taught me about the power of genuine kindness. I recall

What to do when audit clients disagree with you!

Reading Time: 3 minutes Every auditor has or will face situations where clients significantly pushback on audit issues. Internal Auditing is an independent and objective function tasked with evaluating management’s risk identification and mitigation strategies. However, when presenting potentially reportable items to management, that objectivity can sometimes disappear as auditors began vigorously

3 Reasons Internal Audit Clients Refer You to Other Units

Reading Time: 2 minutes Have you ever had audit clients refer you to or suggest (sometime strongly) that you audit specific areas in the organization? What do you think about this? My thoughts have changed over time.

In the past, I believed that audit clients would provide referrals to “throw other units under the bus” or to get us away from their areas of responsibility. You

I still don’t care what keeps you up at night

Reading Time: 2 minutes Again…better questions to ask your audit clients

I recently wrote an article titled “What Keeps You Up At Night…Who Cares! 6 Better Questions to Ask Audit Clients”. The major premise stressed the fact that auditors truly need to ask the questions they really want answered. Asking a client “What keeps you up at night” is terrible, for one, because

How Happy Are Your Audit Clients? Ask Them!

Reading Time: 3 minutes Anyone providing products or services to customers should want to know what customers think about the product/services. Internal Auditors typically solicit feedback through client satisfaction surveys. There are a variety of ways to solicit opinions including live interviews and questionnaires. Successful questionnaires will help audit functions determine how well they are achieving goals and objectives. Many auditor simply copy surveys from other departments. I believe auditors must create surveys specifically for their operating environment. Successful surveys must consider the Stakeholders, the Questions and the Re

4 Audit Client Types

Reading Time: 2 minutes I recently wrote about 4 different auditor personality types. This article received a lot of visits, votes and comments. Check it out if you have not already. The purpose of that article was to identify some of the personality traits that we as auditors exhibit. Because communication is a two way street, today I want to discuss 4 audit client personality types. We must recognize

Don’t forget to ask for evidence

Reading Time: 2 minutes Identifying risks and evaluating risk mitigation techniques requires auditors to gather evidence to support conclusions. This evidence must be sufficient, relevant and reliable. Classic textbooks on auditing divide evidence into several categories, however,

Beware of the Overconfident Audit Clients

Reading Time: < 1 minute Have you ever had an audit client who seemed to have all the answers to every query immediately. They have a presence that is either captivating or intimidating or both. They deliver explanations to you with an unmoving confidence. It is important to consider that confidence does not necessarily equate to competence. And overconfidence can

The Power of Observation & Inquiry

Reading Time: < 1 minute Observation and Inquiry is an important skill set that must be in every auditors toolkit. It requires us to remain objective at all times. I find it interesting how this skill is not only applicable to auditing, but also in “life outside of audit” interactions. I recently wrote about what appeared to be bribery at the London Olympics. Further inquiry disclosed that this normal and acceptable behavior. Well, I have noticed another instance of good observation, ineffective inquiry.

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