Elevate your expertise in external auditing with our in-depth PCAOB Audit Tradecraft Training Seminar, tailored for professionals conducting broker-dealer audits. This immersive 12 CPE credit course is specifically designed to enhance your auditing skills, ensuring compliance with PCAOB Audit Standards while equipping you with the tools to meet rigorous inspection demands. Perfect for external auditors, CPA firm staff, and compliance professionals, this seminar provides the knowledge and techniques to excel in PCAOB-regulated audits.

Why Attend?

1. Advance Your Understanding of PCAOB Standards - Dive deep into the latest PCAOB auditing standards and learn how to align your practices with ethical, regulatory, and professional responsibilities.

2. Strengthen Your Compliance Capabilities - Gain practical insights into tackling broker-dealer compliance challenges, ensuring adherence to federal oversight and regulatory requirements.

3. Sharpen Your Audit Methodologies - Master the techniques required to create impeccable audit workpapers and learn how to handle PCAOB inspection processes with confidence.

4. Earn 12 NASBA-Approved CPE Credits - Enhance your professional credentials while building a skill set that sets you apart in the auditing field.

What You'll Learn

This two-day seminar is committed to breaking down complex PCAOB expectations into actionable strategies.

Course Highlights:

1. Developing Essential Audit Skills

Effective risk assessment and planning strategies tailored for broker-dealer audits.
Best practices for documenting findings and ensuring precision under PCAOB regulations.

2. Exploring Audit Compliance Frameworks

Navigate the integration of the COSO Framework with entity-level and business process controls.
Understand key elements of Internal Control over Financial Reporting (ICFR) under PCAOB standards.

3. Mastering PCAOB Audit Techniques

Examine sample audit scenarios and learn how to resolve common inspection deficiencies.
Develop skills to address challenges related to testing, quality control, and independence requirements.

4. Enhancing Audit Team Competence

Foster critical values like ethics, adaptability, and analytical prowess in daily audit practices.
Promote close alignment of audit teams with PCAOB principles through intellectual curiosity and attention to detail.

Key Topics Covered:

Introduction to the PCAOB Broker-Dealer Program
Audit planning, standards, and tradecraft essentials
Evaluating and documenting ICFR compliance
Leveraging COSO principles for improved audit outcomes
Managing PCAOB inspection readiness and expectations

Benefits of Attending

Robust Compliance Knowledge: Master the nuances of PCAOB-regulated audits and build trust with stakeholders through enhanced transparency.
Improved Process Efficiency: Gain actionable strategies for conducting broker-dealer audits with precision and professionalism.
Enhanced Critical Thinking: Foster essential behaviors like inquisitiveness and ethical integrity to prevent audit failures.
CPE Accreditation: Earn 12 NASBA-approved credits to solidify your standing as an expert external auditor.

Event Details

Schedule: Two-day virtual seminar, held every eight weeks, on Wednesday and Thursday from 9 a.m. to 3 p.m. CST, including a 30-minute lunch break.
Format: Group Internet-Based training featuring real-world examples and scenario-based learning.
CPE Credits: 12 NASBA-Approved CPE credits (Auditing).
Cost: $825.
Private Training Available: Tailored sessions for groups of two or more participants.

Who Should Attend?

This seminar is ideal for professionals responsible for conducting audits regulated by the PCAOB or seeking to enhance their tradecraft, including:

External Auditors: Improve your ability to conduct audits with precision and rigor.
CPA Firm Staff: Strengthen firm-wide approaches to broker-dealer audits.
Compliance Professionals: Enhance the integrity of your audit methodology under strict PCAOB requirements.

Why PCAOB Compliance Matters

The PCAOB provides assurance and oversight for auditors of public companies and broker-dealers, safeguarding the accuracy of financial statements. Understanding and adhering to these standards is essential for:

Ensuring Audit Integrity: Showcase commitment to professional ethics and meticulous financial oversight.
Avoiding Deficiencies: Mitigate compliance pitfalls common in PCAOB inspection reports.
Building Public Trust: Demonstrate a reliable and robust audit process to investors and regulators.

Register Now

Take the lead in broker-dealer auditing by mastering PCAOB tradecraft. Acquire the skills, knowledge, and credentials to meet today’s regulatory and professional challenges head-on.

Register today to secure your spot in this invaluable training seminar and elevate your role in the auditing profession!

PCAOB Audit Tradecraft for the Broker-Dealer External Auditor

Name: PCAOB Audit Tradecraft for the Broker-Dealer External Auditor
Brand: PCAOB-CPA-Firm

$825.00

Dates Available

Quantity

Offered on Wednesday-Thursday once every eight weeks in two six hour sessions for 12 CPE credits.

The sessions will run from 9:00 a.m. to 3:00 p.m. Central Time Zone.

There will be a lunch break from 12:00 noon to 12:30 p.m. each day.

We can schedule private events on your timetable for two or more attendees.

NASBA Program Disclosure

Program Level of Understanding: Intermediate to advanced

Prerequisites: None

Advance Preparation: None

Delivery Format: Group Internet Based

NASBA Field(s) of Study: Auditing

CPE Credits: 2, based on 50 minutes of instruction per hour
The seminar reviews and answers the following questions:

What are the PCAOB Audit Standards?

What are the typical inspection report issues?

What are the key audit planning issues?

How does the COSO Framework fit together?

What is contained in an "ICFR" assessment program?

How should the "client" be documenting "ICFR" assessments?

How does this testing work?
Attendees will:

Understand the PCAOB's key audit standards.

Understand risk assessment from the external audit viewpoint.

Have examples of client documentation.

Know how the components and principles are integrated within COSO framework.

Have an approach to issues concerning PCAOB compliance.
The "PCAOB Audit Tradecraft for the External Auditor" training event hosted by CCS is a comprehensive course designed to meet the PCAOB's continuing professional education (CPE) requirements for external auditors. This event provides a thorough overview of the PCAOB's expectations and standards for external auditors, as well as the latest techniques and methodologies in auditing. The course covers a wide range of topics, including the audit process, risk assessment, testing procedures, data analytics, communication, and documentation.

Through this PCAOB training, external auditors will gain a deep understanding of the PCAOB's auditing standards (AS) and how they apply to the audit process. Also covered in the course will be the importance of internal control in auditing and how it affects audit compliance. Participants will leave the training equipped with the knowledge and skills needed to stay up-to-date with the latest developments in the field and ensure their audit services are in line with PCAOB standards.

This auditor course is designed for experienced external auditors who are looking to improve their audit tradecraft and maintain PCAOB compliance. The "PCAOB Audit Tradecraft for the External Auditor" training event is a valuable opportunity for external auditors to enhance their skills and stay at the forefront of their field.
To further enrich your journey and deepen your understanding of these essential behaviors, CCS has curated a list of authoritative sources. Each of these resources serves as a beacon, guiding you towards not just compliance with standards but embodying the principles that define excellence in auditing, the "Tradecraft":

Empathy and Understanding

Harvard Business Review:

Explore articles on emotional intelligence and empathy in professional settings. Understanding the client's perspective and fostering effective communication is crucial.

Ethics and Integrity

Institute of Internal Auditors (IIA) - Code of Ethics:

A cornerstone resource for auditors seeking to uphold the highest ethical standards in their practice.

Inquisitiveness and Intellectual Curiosity

TED Talks:

Engage with talks that spark curiosity and inspire a lifelong love of learning, critical for staying ahead in the ever-evolving field of auditing.

Analytical Skills and Attention to Detail

American Accounting Association (AAA):

The AAA offers resources and journals that delve into the latest research and developments in accounting and auditing, perfect for honing analytical skills.

Exceptional Communication Skills

Toastmasters International:

Enhance your public speaking and communication skills through Toastmasters, a global organization dedicated to improving these essential capabilities.

Understanding Business Risk

Risk Management Association (RMA):

Provides insights, frameworks, and tools for effectively managing and understanding business risk, an indispensable aspect of auditing.

By delving into these resources, you're not just expanding your knowledge; you're embracing a mindset that transcends the basics of auditing. You're committing to a path of personal and professional development that honors the essence of what it means to be an auditor—a guardian of financial integrity and a trusted advisor to the business world.

Remember, the journey of mastering the PCAOB Audit Tradecraft and the behaviors that underpin it is ongoing. It's a commitment to constantly evolve, adapt, and grow in service of the greater good. Let these resources be your companions along the way, illuminating your path towards achieving not just

PCAOB Audit Tradecraft for the Broker-Dealer External Auditor

Details on Event Presentation

CPE Event Highlights

Learning Objectives

Key Issues on the Agenda

Summary of the Subject Matter

Authoritative Sources