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KnowledgeLeader's Most Popular Segregation of Duties Content

Critical Business Processes Audit Report

This sample audit report can be used by auditors for assessing and improving an organization’s business process risk.


Enterprise Resource Planning Upgrade Audit Report

Auditors can use this audit report template for conducting and documenting the results of an enterprise resource planning upgrade audit.


Nominating and Governance Committee Charter

This document contains four samples that provide guidelines for creating a nominating and corporate governance charter.


Purchase-to-Payment Review Audit Report

This document contains three sample audit reports that can be used by auditors to learn how other organizations conducted a purchase-to-payment audit.


Configurable Application Controls Questionnaire

This sample questionnaire uses configuration tools to evaluate and improve an organization's configurable application controls.


Risk Control Specialists Questionnaire

This tool integrates risk control specialist questions to consider for measuring and improving an organization’s SOX compliance process.


Segregation of Duties Questionnaire

This tool contains 14 sample questionnaires auditors can use to ensure proper segregation of duties for a variety of processes, including payroll, fixed assets and inventory.


System Development Life Cycle Questionnaire

This tool contains two sample documents that highlight questions to consider when creating and measuring an organization’s system development life cycle process.


Data Analytics and Audit Coverage Guide

This document includes two sample guides that can be used for understanding and leveraging an organization’s data analytics process.


Enterprise Risk Management Guide: Identifying and Understanding Risks

In this tool, we’ve included a guide that provides leading practices related to improving an organization’s enterprise risk management program.

January 17, 2022





Segregation of Duties and Logical Access Guide

This sample explains the concept of segregation of duties (SOD), including its types, importance, risks, and the role of internal audit/management/external audit.


Director of IT Job Description

This job description sample outlines the responsibilities, key selection criteria and general information for the role of the director of IT.


Cash Handling Policy

This document provides detailed procedures for various cash controls.


Delegation of Authority Policy

This tool contains two sample policies that outline standards and procedures related to assigning authority within an organization.


Application Audit Work Program

This tool includes three audit program samples that can be used by organizations to evaluate and improve business unit application controls.


Corporate Treasury Review Audit Work Program

The purpose of this work program is to provide examples outlining the steps used to perform an audit of corporate treasury.


Enterprise Resource Planning Security Audit Work Program

In this work program sample, we list general best-practice steps for the enterprise resource planning security process.


Systems and Data Audit Work Program

This sample work program can be used by auditors to identify and mitigate risks associated with an organization’s critical systems and software.


Time and Labor System Post-Implementation Audit Work Program

This work program sample can be used by organizations to measure the infrastructure for an implemented time and labor system or application.


Treasury Security Review Audit Work Program

In this work program sample, we provide general best-practice steps for the treasury security review audit process.

Announcement
Segregation of Duties Topic

We're highlighting our most popular segregation of duties content on KnowledgeLeader this week! Utilize these samples to provide for separate processing by different individuals at various stages of a transaction and for independent reviews of the work performed.

Upcoming Webinar

Complaints as a Strategic Asset: Driving Compliance and Customer Experience Enhancements

January 20th, 2022 at 9:00 a.m. Pacific

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