Finance Department Review Report

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Best Practices for Conducting and Documenting a Finance Department Audit

This Finance Department Review Report can be used by auditors looking to identify performance gaps and improvement opportunities in the finance department.

In this sample, internal audit's work consisted of conducting a kickoff meeting with the finance department leadership team; conducting an analysis of the finance department infrastructure utilizing the internal auditor's six elements of the infrastructure framework; conducting individual interviews and focusing discussions with essential finance and operational personnel; reviewing and analyzing existing documentation prepared for Sarbanes-Oxley (SOX) compliance efforts; and developing an understanding of the nature, type and amount of effort expended to perform key finance activities.

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