There are over 600 checklists, guides and other tools available on KnowledgeLeader. They include questionnaires, templates, charters, and more for managing risk, conducting internal audits, and leading an internal audit department. These examples can help save you time and identify best practices on many topics and within many business processes.
For example, you will find controls questionnaires for many business and technology processes, lists of common frauds and prevention techniques, surveys and tools for working with the audit committee, sample reports, sample charters, performance measures, self assessment and workshop facilitation tools, and much more.
KnowledgeLeader provides its members with a library of materials that can be applied to projects so they can save time and avoid starting from scratch. Visit the tools page to view all the tools available on KnowledgeLeader.
Selected Checklists & Guides available on KnowledgeLeader:
- Spreadsheet Controls Procedures and Checklist for Sarbanes-Oxley Compliance
- Code of Business Conduct
- Corporate Audit Department Charter
- Close The Books – Preliminary Controls Assessment Questionnaire
- Closing Out Year One: Checklist of SOX Best Practices
- Audit Work Paper Quality Review Checklist
- Tax Process: Objectives and Control Checklist
- Documentation - 404 Readiness Checklist
- Audit Committee Charter
- Entity Level Documentation Request Checklist
- Nominating and Governance Committee Charter
- Compensation Committee Charter
- Test Documentation Validation Checklist
- General IT Controls Review: Password Questionnaire
- SOX Year End Update Testing Approach Memo
- Update Testing – Control Self Assessment Questionnaire
- Sarbanes-Oxley Walkthrough Checklist
- General IT Controls Review: Disaster Recovery Questionnaire
- Sarbanes Oxley Review Process Tracking Worksheet
- IT Security Remediation – Self-Assessment Questionnaire
- Example RFP for Systems Audit Work
- Guidelines for Sourcing Root Causes
- IT Control Best Practices
- Purchasing and Inventory Management - Preliminary Controls Assessment Questionnaire
- Common Fraud Scenarios
- Accounts Receivable and Credit & Collections - Preliminary Controls Assessment Questionnaire
- Cash Disbursement - Preliminary Controls Assessment Questionnaire
- Payroll - Preliminary Controls Assessment Questionnaire
- Guide to Internal Audit: Frequently Asked Questions About the NYSE Requirements and Developing an Effective Internal Audit Function
- Process Documentation Narrative and Flow Chart Guide
- Segregation of Duties - Treasury
- Payroll Best Business Practice Checklist
- Month-End Close Best Business Practice Checklist
- Anti-Money Laundering Audit Checklist
- Cash Receipts/ Collections Best Business Practice Checklist
- Billing Best Business Practice Checklist
- Accounts Payable Best Business Practice Checklist
- Privacy Compliance Program Review – Sample Report
- Best Practices Evaluation Worksheet for Internal Audit Departments
- Control Objectives and Activities: Process Payroll
- Foreign Subsidiary Internal Audit Review
- E-commerce Security Best Practice Guidelines
- Control Objectives and Activities: Process Funds
- Firewall Security Best Practice Guidelines
- Network Security Best Practice Guidelines
- Control Objectives and Activities: Manage Information Technology
- Corporate Treasury Review Internal Audit Report - Sample
- Control Objectives and Activities: Plan and Provide Administrative Services
- COSO Element - Risk Assessment
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