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Investment auditing requires a specialised command of governance frameworks, valuation methodologies, operational controls, and regulatory compliance — and this course gives professionals the structured technical foundation to audit investment activities with confidence and precision.
The course covers the full investment audit scope, from investment policy statement analysis and fiduciary responsibilities through to fixed income, equity, derivatives, and alternative investment auditing using fair value hierarchy assessment procedures.
Operational controls are addressed in depth, covering trade execution, settlement, portfolio reconciliation, NAV calculation, custody arrangements, and performance measurement and attribution.
Risk management and compliance content spans market, credit, counterparty, and liquidity risk, alongside regulatory frameworks and AML/KYC requirements specific to investment operations.
The course closes with data analytics, forensic fraud detection techniques, root cause analysis, audit report writing, and audit committee reporting — giving delegates a complete end-to-end investment audit capability.
This investment auditing course is designed to give delegates a working command of the full investment audit process from governance evaluation and valuation testing through to risk assessment, compliance frameworks, and advanced audit reporting.
By the end of this course, delegates will be able to:
This Investment Auditing Training Course is designed for professionals involved in auditing, evaluating, or overseeing investment-related processes. It is especially valuable for individuals who already possess auditing fundamentals and wish to extend their expertise into investment operations. The course offers the clarity, structure, and technical depth required for auditors working in complex financial environments.
This training course will greatly benefit:
This investment auditing course is delivered through structured technical instruction, applied case studies, practical workshops, and a personal development planning session — giving delegates both the audit frameworks and the hands-on practice to apply investment auditing techniques immediately in their roles.
Delivery methods include:
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Common questions about our training courses
Derivatives and structured products are covered as part of the investment product valuation content, with specific focus on the audit approaches and fair value hierarchy assessment procedures applicable to these instruments. The course recognises that derivatives present particular valuation and documentation challenges in an audit context and addresses these directly alongside equity, fixed income, and alternative investment auditing approaches.
AML and KYC requirements are covered within the regulatory compliance content, addressing how these obligations apply specifically to investment operations and what audit procedures are appropriate for testing compliance. This is particularly relevant for delegates working in fund management, private banking, or any investment environment where client onboarding and transaction monitoring form part of the regulatory control framework.
Forensic audit techniques are covered alongside data analytics as part of the advanced audit techniques content. Delegates learn how forensic methods are applied to detect indicators of fraud within investment operations — including misvaluation, misappropriation, and transaction manipulation. Root cause analysis methodologies are also covered, giving delegates a structured approach to understanding how control failures occur and how findings should be framed in audit reports.
Portfolio reconciliation and NAV calculation are addressed within the operational controls content, covering the procedures used to verify accuracy, identify discrepancies, and assess the adequacy of controls surrounding these critical fund operations processes. Fee structures, expense verification, and custody arrangements are covered alongside NAV as part of a complete operational controls audit framework.
Data analytics is addressed as an advanced audit technique, covering how analytical tools are used to identify anomalies, test large transaction populations, and flag patterns that may indicate control failures or fraudulent activity. The course treats data analytics as a practical audit capability rather than a purely technical subject, and delegates develop an understanding of how to scope, apply, and interpret analytical procedures within investment audit engagements.
Investment performance measurement and attribution are covered within the operational controls content, addressing how performance figures are calculated, verified, and attributed across portfolios. Delegates learn what audit procedures are appropriate for testing performance data, how errors and misattribution are identified, and what control weaknesses in this area typically look like. This is directly relevant for auditors reviewing fund reporting, client statements, and regulatory performance disclosures.
