Course Finder
2026 Classroom Training Courses 2026 Online Training Courses 2027 Classroom Training Courses 2027 OnlineTraining Courses
In-House Training About Us
An Intensive Professional
Development Training Course on

Investment Auditing

Developing Financial Control, Risk Management and Assurance Skills for Investment Activities

Course Options

How would you like to proceed?

Need a tailored solution or group booking discount? Contact our course advisors.

Why Choose This Course

The Investment Auditing training course provides professionals with the specialist technical grounding needed to examine investment activities confidently and accurately. It addresses governance frameworks, valuation methods, operational controls and regulatory compliance.

Coverage extends across the complete investment audit scope, beginning with investment policy statement analysis and fiduciary duties. It then examines the auditing of fixed income, equities, derivatives and alternative investments through fair value hierarchy assessment procedures.

Operational controls receive detailed attention, including trade execution, settlement processes, portfolio reconciliation and NAV calculation. The course also covers custody arrangements, performance measurement and performance attribution.

Risk management and compliance topics encompass market, credit, counterparty and liquidity risk. Relevant regulatory frameworks and AML/KYC obligations specific to investment operations are also addressed.

The course concludes with data analytics, forensic fraud detection methods and root cause analysis. Audit report writing and reporting to audit committees complete the end-to-end investment audit capability developed for delegates.

 

Why Choose Investment Auditing
Course Goals

What are the Goals?

This investment auditing course aims to provide delegates with a practical command of the complete investment audit process, covering governance evaluation and valuation testing, risk assessment, compliance frameworks, and advanced audit reporting.

Upon completing this course, delegates will be able to:

  • Review investment governance frameworks — Evaluate investment policy statements, governance arrangements, fiduciary duties, and key risk indicators across investment activities.
  • Examine investment products and valuations — Use audit approaches for fixed income, equities, alternative investments, derivatives, and structured products by applying fair value hierarchy assessment procedures.
  • Examine operational controls — Audit trade execution, settlement, portfolio reconciliation, NAV calculations, fee structures, custody arrangements, and performance attribution.
  • Evaluate investment risk frameworks — Recognise and test market, credit, counterparty, and liquidity risks within investment operations and control environments.
  • Use regulatory and compliance frameworks — Assess regulatory compliance and AML/KYC requirements in relation to investment operations and audit scope.
  • Use advanced audit techniques — Employ data analytics and forensic methods to detect fraud and perform root cause analysis during investment audit engagements.
  • Create professional audit outputs — Prepare effective audit reports, communicate findings to audit committees, and create personal development roadmaps to support continued growth in audit capability.

 

Who is this Training Course for?

This Investment Auditing training course is designed for:

  • Investment Auditors
  • Internal Auditors
  • External Auditors
  • Investment Compliance Officers
  • Investment Risk Managers
  • Portfolio Managers
  • Investment Accountants
  • Financial Controllers
  • Fund Auditors
  • Audit and Assurance Managers
Learning Approach

How will this Training Course be Presented?

This investment auditing course combines structured technical teaching, applied case studies, hands-on workshops, and a personal development planning session — equipping delegates with both the audit frameworks and practical experience needed to use investment auditing techniques immediately within their roles.

Methods of delivery include:

  • Instructor-Led Technical Sessions — Expert facilitators take delegates through investment governance, product valuation, operational controls, risk frameworks, compliance requirements, and advanced audit techniques in a structured order.
  • Case Study Analysis — Case studies involving governance framework evaluation and comprehensive risk assessment place the technical material within realistic investment audit scenarios.
  • Valuation Testing Exercise — A practical valuation methodologies exercise provides delegates with direct experience in applying fair value hierarchy assessment procedures across various investment product types.
  • Operational Controls Workshop — A structured operational controls testing workshop addresses audit procedures for trade execution, NAV calculation, custody verification, and performance attribution.
  • Advanced Techniques Application — Dedicated sessions apply methodologies for data analytics, forensic fraud detection, and root cause analysis to develop investigative audit capability.
  • Personal Development Roadmap — The course concludes with an action planning session during which delegates create a structured roadmap for their continued professional development in investment auditing.

The Course Summary & Outline

  1. Day 1
    Investment Universe and Governance Framework
  2. Day 2
    Investment Products and Valuation Methodologies
  3. Day 3
    Investment Operations and Control Environment
  4. Day 4
    Risk Management and Compliance Frameworks
  5. Day 5
    Advanced Audit Techniques and Reporting
Recognition

Certificate

Delegates who successfully complete the Investment Auditing training course are awarded the Wallstreet Academy Certificate of Completion, recognising their achievement and commitment to professional development. Participants receive 25–30 credits, with the final allocation based on their verified attendance throughout the course.

Each Guided Learning Hour represents 60 minutes of attendance. Attendance is documented in line with the quality management principles of ISO 9001:2015, supporting accurate and consistent record-keeping.

Frequently Asked Questions

You will learn about investment auditing with a focus on financial controls and risk management. The course connects the review of investment activities with the controls used to oversee financial processes. It also addresses how risk management supports effective investment auditing.
The main focus is mastering financial controls and risk management in the context of investment auditing. It examines these areas as core components of effective financial oversight. The training remains centred on investment-related audit work rather than general auditing alone.
Risk management is addressed as a core element of investment auditing. The course links the management of financial risk with the use of appropriate controls. It therefore treats risk and control as connected aspects of investment oversight.

This course is designed for Investment Auditors, Internal Auditors, External Auditors, Investment Compliance Officers, Investment Risk Managers and Portfolio Managers. Coverage extends across the complete investment audit scope, beginning with investment policy statement analysis and fiduciary duties.

The course covers investment auditing, financial controls, and risk management. It focuses on how financial controls relate to the oversight and review of investments. The course also considers risk as a central part of the auditing process.
The course presents financial controls as an important part of investment auditing. It focuses on understanding how controls support the oversight and review of investment-related financial activities. This connection helps place control practices within a risk-aware auditing context.
The course aims to build skills in investment auditing, financial control, and risk management. It supports a more structured understanding of how controls and risks relate to investment activities. These skills are relevant to work involving financial review, oversight, or audit responsibilities.

Yes. The Investment Auditing training course provides professionals with the specialist technical grounding needed to examine investment activities confidently and accurately. It addresses governance frameworks, valuation methods, operational controls and regulatory compliance. Key topics include Investment Universe and Governance Framework, Investment Products and Valuation Methodologies, Investment Operations and Control Environment and Risk Management and Compliance Frameworks.

Related Articles

View All Articles