fin590 | Graduate

Audit And Compliance Management

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The course emphasizes concepts and principles of auditing and assurance services theory and practice. Students will explore professional standards utilized in providing auditing and other assurance services, and reporting on financial statements. Other topics include securities law and regulatory structure, professional conduct, and ethical and legal issues in securities regulation.

This graduate-level course is 6 This course is available as part of a degree or certificate program. To enroll, speak with an Enrollment Representative.

Course details:

Credits: 3
Continuing education units: XX
Professional development units: XX
Duration: 6

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    The Need for Auditing and Assurance Services

    • Describe the regulatory and oversight bodies and key laws for financial reporting.
    • Explain the relevance of auditing to the business world and the public.
    • Compare and contrast auditing, other assurance services, and accounting.

    Audit Reporting, Ethics, and Legal Liability

    • Evaluate the ethicality of audits and corporate governance.
    • Describe the types and components of audit reports.

    Audit Objectives, Evidence, and Audit Planning

    • Design audit plans.
    • Use analytical procedures to assess business risk.
    • Explain characteristics that make audit evidence persuasive and adequate to support an audit opinion.
    • Describe the objectives of audits of financial statements and audits of internal controls.

    Materiality, Risk, and Internal Controls

    • Explain how materiality and risk impact the audit process.
    • Explain the purpose of internal controls and internal control audits.
    • Evaluate the effectiveness of internal controls in organizations.

    Types of Fraud and the Impact of Technology

    • Describe the different types of fraud.
    • Analyze the impact of technology on internal controls and auditing.

    Other Assurance Services

    • Explain the different types of attestation services provided by professional accountants.
    • Describe internal, operational, and government auditing.
    Tuition for individual courses varies. For more information, please call or chat live with an Enrollment Representative.

    Please ask about these special rates:

    Teacher Rate: For some courses, special tuition rates are available for current, certified P-12 teachers and administrators. Please speak with an Enrollment Representative today for more details.

    Military Rate: For some courses, special tuition rates are available for active duty military members and their spouses. Please speak with an Enrollment Representative today for more details.

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    While widely available, not all programs are available in all locations or in both online and on-campus formats. Please check with a University Enrollment Representative.

    Transferability of credit is at the discretion of the receiving institution. It is the student’s responsibility to confirm whether or not credits earned at University of Phoenix will be accepted by another institution of the student’s choice.