Elliot Andrew Fisch,
CPA, CIA, CFE, CFF, CGMA, CRMA, MBA

Internal Audit, Corporate Compliance, Ethics and Fraud-Prevention Expert

 

Elliot A. Fisch brings more than 30 years of professional experience in internal auditing, corporate compliance, ethics, fraud investigations, financial management and project management. His career includes leadership responsibilities within corporate, governmental and consulting environments.

 

Elliot has directed internal audit functions for multibillion-dollar international organizations, worked with senior executives and boards of directors, and helped organizations strengthen governance, risk management and internal controls.

 

As a Corporate Compliance Seminars instructor, Elliot translates complex audit and compliance requirements into practical methods professionals can use in their organizations. His programs address the real-world responsibilities of internal auditors, compliance officers, financial executives, fraud examiners and other governance professionals.

 

Extensive Professional Credentials

 

Elliot holds an exceptional combination of accounting, auditing, fraud, forensic accounting and risk-management credentials:

• Certified Public Accountant — CPA

• Certified Internal Auditor — CIA

• Certified Fraud Examiner — CFE

• Certified in Financial Forensics — CFF

• Chartered Global Management Accountant — CGMA

• Certification in Risk Management Assurance — CRMA

• Master of Business Administration — MBA

 

These credentials reflect his broad command of financial reporting, internal auditing, fraud risk, forensic accounting, corporate governance, compliance and enterprise risk management.

 

Internal Audit Leadership

 

Elliot has extensive experience directing internal audit departments and developing audit professionals. His leadership approach emphasizes collaboration, constructive communication and the practical application of audit findings.

 

His internal audit experience includes:

• Establishing and directing internal audit functions

• Developing risk-based audit plans

• Assessing governance, risk management and internal controls

• Communicating audit results to executives and boards

• Evaluating financial, operational and compliance risks

• Reviewing the reliability of financial and contractual information

• Developing audit professionals through coaching and teamwork

• Coordinating internal audit activities with compliance and management

• Identifying control weaknesses and practical corrective actions

 

Elliot understands that internal auditing must provide more than findings. An effective internal audit function should help leadership understand risk, improve business processes and make better-informed decisions.

 

Corporate Compliance and Regulatory Experience

 

Elliot has held significant corporate compliance responsibilities, including oversight of relationships with governmental and regulatory authorities. He has served as a compliance monitor and helped organizations build compliance programs designed to identify, communicate and manage regulatory risk.

 

His compliance experience includes:

• Corporate compliance program development

• Regulatory compliance monitoring

• Government and regulatory relationships

• Compliance risk assessments

• Corporate policy and procedure development

• Ethics and Code of Conduct programs

• Employee compliance training

• Fraud-reporting and hotline programs

• Compliance investigations

• Corrective-action monitoring

• Coordination among audit, compliance, legal and operational functions

 

Elliot’s work recognizes that compliance cannot operate effectively as an isolated department. Audit, compliance, finance, legal, human resources and operating management must share relevant information while maintaining appropriate authority and independence.

 

Ethics and Organizational Conduct

 

Rules and policies alone do not create an ethical organization. Leadership behavior, accountability, communication and consistent enforcement determine whether an ethics program works in practice.

 

Elliot has developed and supported:

• Corporate ethics programs

• Codes of Conduct

• Ethics and compliance policies

• Fraud hotlines and reporting processes

• Employee awareness programs

• Ethics and compliance training

• Investigation and escalation procedures

• Management accountability practices

• Programs addressing organizational culture and tone at the top

 

His training helps participants evaluate whether an organization’s ethics program is merely documented or is actually understood, supported and followed.

 

Fraud Reviews and Investigations

 

As both a Certified Fraud Examiner and a Certified in Financial Forensics professional, Elliot brings a strong combination of audit, accounting and investigative knowledge to fraud-risk issues.

 

His fraud-related expertise includes:

• Fraud-risk assessment

• Internal fraud reviews

• Investigation planning

• Financial and accounting analysis

• Fraud hotline administration

• Evaluation of allegations

• Documentation of investigative work

• Communication of sensitive findings

• Corrective-action recommendations

• Strengthening controls after a fraud incident

• Fraud-awareness and prevention training

 

Elliot helps professionals understand how fraud schemes exploit weak controls, inadequate oversight, poor segregation of duties, management override and unhealthy organizational cultures.

 

Sarbanes-Oxley and Internal Control Expertise

 

Elliot has extensive experience with the requirements of the Sarbanes-Oxley Act and internal control over financial reporting.

 

His SOX and internal-control work includes:

• Developing internal-control policies and procedures

• Documenting financial processes and control activities

• Identifying key financial-reporting controls

• Evaluating control design

• Testing operating effectiveness

• Identifying and documenting control deficiencies

• Developing practical remediation strategies

• Validating organizational control frameworks

• Reviewing financial-statement reliability

• Assessing the accuracy and presentation of contract data

• Coordinating with management, internal audit and external audit

 

His instruction emphasizes an essential distinction: a control can be performed consistently and still fail if it was poorly designed.

 

Effective control evaluation must consider both design effectiveness and operating effectiveness.

 

Working With Executives and Boards of Directors

 

Elliot has successfully worked with company executives and boards of directors on internal audit, compliance, ethics, fraud and risk-management matters.

 

This experience gives him a practical understanding of the information governance leaders need from internal audit and compliance functions. His programs address how audit and compliance professionals can communicate complex issues without burying decision-makers in technical detail.

 

Topics include:

• Reporting significant risks to the board

• Communicating with audit committees

• Escalating serious compliance concerns

• Presenting audit findings clearly

• Distinguishing symptoms from root causes

• Explaining the business consequences of control failures

• Developing realistic corrective actions

• Monitoring management’s response

• Maintaining credibility and professional independence

 

Combining Internal Audit and Compliance Information

 

Organizations frequently divide internal audit, compliance, ethics, legal, risk management and fraud responsibilities among separate departments. These functions may identify related problems but fail to share information because of organizational silos.

 

Elliot’s training examines how organizations can improve coordination among assurance and compliance functions while protecting the independence of internal audit.

 

Participants explore how to:

• Recognize overlapping audit and compliance responsibilities

• Improve the exchange of risk information

• Reduce unnecessary duplication

• Identify risks that fall between departmental responsibilities

• Establish clear ownership and escalation procedures

• Coordinate investigations and monitoring activities

• Provide management and the board with a more complete risk picture

• Preserve internal audit independence while improving collaboration

 

Practical CPE Training for Experienced Professionals

 

Elliot’s programs are designed to connect professional standards with the situations auditors and compliance professionals face every day.

 

Rather than treating auditing and compliance as abstract concepts, his instruction focuses on questions such as:

• Does management understand and own its risks?

• Are controls properly designed?

• Are documented controls actually operating?

• Does the compliance program receive meaningful support from leadership?

• Are allegations investigated consistently?

• Does the board receive the information it needs?

• Are audit findings addressing causes or merely symptoms?

• Do departments share important risk information?

• Are corrective actions solving the underlying problem?

• Is the organization’s ethical culture consistent with its written policies?

 

Areas of Instruction

 

Elliot’s professional experience supports CPE training in the following areas:

• Internal auditing

• Corporate compliance

• Business ethics

• Fraud prevention and investigation

• Forensic accounting

• Sarbanes-Oxley compliance

• Internal control over financial reporting

• Governance and board reporting

• Audit committee communications

• Enterprise risk management

• Compliance monitoring

• Codes of Conduct

• Fraud hotlines

• Regulatory relationships

• Financial and operational auditing

• Control design and operating effectiveness

• Audit findings and corrective actions

• Coordination between internal audit and compliance

 

Who Should Attend Elliot Fisch’s CPE Events?

 

Elliot’s programs are valuable for:

• Chief audit executives

• Internal audit directors and managers

• Internal auditors

• Corporate compliance officers

• Ethics and compliance professionals

• Certified Public Accountants

• Certified Internal Auditors

• Certified Fraud Examiners

• Forensic accountants

• Controllers and financial executives

• Risk-management professionals

• Audit committee members

• Legal and regulatory professionals

• Government auditors

• Professionals responsible for SOX compliance

• Managers responsible for internal controls

 

Why Attend an Elliot Fisch CPE Event?

 

Participants benefit from an instructor who has worked across the full range of audit, compliance, ethics, financial and fraud responsibilities.

 

Elliot brings:

• More than 30 years of professional experience

• Leadership experience in multibillion-dollar international organizations

• Direct experience managing internal audit functions

• Board and executive communication experience

• Corporate compliance and regulatory expertise

• Fraud examination and forensic accounting credentials

• Practical Sarbanes-Oxley and internal-control experience

• Experience developing ethics, Code of Conduct and fraud-hotline programs

• A collaborative and practical approach to professional education

 

His training is intended to help participants recognize risks earlier, evaluate controls more effectively, communicate findings more clearly and strengthen organizational accountability.

 

Bring Elliot Fisch’s Training to Your Organization

 

Corporate Compliance Seminars can provide Elliot Fisch’s programs through live webinars, in-person CPE events and customized onsite training.

 

Customized training can address your organization’s:

• Industry and regulatory environment

• Internal audit methodology

• Corporate compliance program

• Fraud risks

• Ethics and Code of Conduct

• Sarbanes-Oxley responsibilities

• Internal-control framework

• Audit committee expectations

• Governance structure

• Current audit and compliance concerns

 

Contact Corporate Compliance Seminars to discuss an Elliot Fisch webinar, in-person seminar or customized onsite training program.

 

Learn From Real-World Audit and Compliance Experience

 

Strong internal auditing and compliance require more than knowledge of professional standards. They require sound judgment, organizational awareness, effective communication and the ability to convert identified risks into meaningful corrective action.

 

Elliot A. Fisch gives professionals the practical perspective needed to connect internal audit, corporate compliance, ethics, fraud prevention and risk management—and to use those disciplines to make their organizations stronger.