How to Present Audit Findings Professionally

🤔 Audit Reports That Drive Change: How to Tell if Findings and Recommendations Are Actually Good Executives rely on audit to surface risk, flag weak controls, and improve operations. But not all audit reports are equal. Some lead to lasting change. Others fade after a status meeting. So how do you evaluate whether the findings and recommendations are actually good? Here’s what to look for—or deliver: 🔍 1. The Finding Identifies the Root Cause, Not Just the Symptom A symptom says what happened. A good finding reveals why it happened—and what systemic weakness allowed it. Executives: don’t settle for shallow descriptions. Auditors: dig until the “why” is clear. 📊 2. The Finding Is Material and Risk-Aligned Does this issue matter to the business? Effective audits prioritize based on impact—financial, operational, legal, or reputational. A finding no one would act on isn’t insight. It’s noise. 💡 3. The Recommendation Is Practical and Targeted “Improve controls” is vague. “Require dual authorization for expenses over $10K using [system]” is clear. Good recommendations are: → Specific → Implementable → Assigned to a business owner → Backed by cost-benefit rationale 🔄 4. There’s a Clear Link Between the Finding and the Fix Weak audits present mismatched recommendations. Each recommendation should directly respond to its related finding—with logic that ties them together. 🧠 5. Both Are Framed in Business Terms Executives shouldn’t need a glossary. Auditors: avoid jargon, and explain both issues and fixes in operational language. ✅ 6. There’s a Plan for Ownership, Monitoring, and Follow-Up A good recommendation becomes a business improvement initiative—with timelines, accountability, and KPIs. Executives: make follow-through part of your performance culture. Auditors: follow up and escalate if remediation stalls. 🤝 7. The Process Builds Trust, Not Fear Findings and recommendations should invite collaboration—not resistance. Well-framed audit insights make the business stronger, not just “safer.” 💬 Whether you’re on the giving or receiving end of an audit report, this is the test: Does this help us manage risk and improve how we work? If not, the finding may be shallow—or the recommendation may be off-target. Strong audit work is a value driver. Weak audit work just adds to your inbox. ⚡ Comment and connect. #InternalAudit #Governance #AuditExcellence #ExecutiveLeadership #RootCause #RiskManagement #CAPA #AuditFindings #BusinessImprovement #CARMAFramework #DealDoctor

𝐇𝐨𝐰 𝐜𝐚𝐧 𝐈 𝐛𝐮𝐢𝐥𝐝 𝐚 𝐬𝐭𝐫𝐨𝐧𝐠 𝐈𝐓 𝐀𝐮𝐝𝐢𝐭 𝐫𝐞𝐩𝐨𝐫𝐭? 📍Executive Summary: - Provide a high-level overview of the audit objectives, scope, and key findings. - Summarize the risks identified and the impact on the organization, along with the main recommendations. 📍Introduction: - Clearly state the purpose of the audit, the scope (what was reviewed and what was excluded), and the time period covered. - Include background information on the systems, processes, or areas audited. 📍Audit Objectives: - Clearly define what the audit sought to achieve (e.g., evaluating the effectiveness of controls, compliance with regulatory standards like ISO 27001, etc.). 📍Scope of the Audit: - Detail the specific systems, processes, departments, or geographical areas reviewed. - Mention any limitations or constraints faced during the audit. 📍Methodology: - Describe the audit approach, including the tools, frameworks (e.g., COBIT, NIST, ISO 27001), and techniques used for testing. - Include sample sizes, interviews conducted, and system access reviews. 📍Findings: - Present your findings in a structured manner, categorizing them by severity (e.g., high, medium, low). - Each finding should include: - Description of the issue: Explain what went wrong. - Impact: Describe the risk posed to the organization (financial, reputational, operational, etc.). - Root Cause: Analyze why the issue occurred. - Supporting Evidence: Provide details such as logs, configurations, screenshots, or interviews that support the finding. 📍Recommendations: - Offer clear, actionable recommendations for each finding. - Assign a priority to each recommendation and suggest responsible teams or individuals. - Where applicable, provide best practice examples or align recommendations with standards (ISO, NIST, PCI DSS). 📍Management Response: - Include the management's response to your findings and recommendations, indicating whether they agree with the findings and what actions they plan to take. 📍Conclusion: - Summarize the overall control environment and risk exposure. - Reinforce the importance of acting on critical findings. 📍Appendices (if applicable): - Include any technical details, extra logs, or supporting documentation that adds clarity but may be too detailed for the main report. 📍Action Plan or Timeline: - Outline a roadmap for addressing the recommendations, including deadlines and responsible personnel. A strong IT Audit report should be clear, concise, and focused on providing value to both technical and non-technical stakeholders. Ensure it addresses the risks and helps management understand the importance of addresses the risks and helps management understand the importance of addressing the issues uncovered #Day62 #90dayschallengeonlinkedin #Cybersecurity #ITAudit #GRC

Your audit findings are only as good as your ability to communicate them. Imagine you’ve worked tirelessly on an audit, uncovering critical risks and developing actionable recommendations. But when you present your findings, your client seems confused— or worse, defensive. A week later, you find out they misunderstood your recommendations, implementing changes that don’t solve the issue. The result? Risks remain, and your hard work feels wasted. Clear communication isn’t just a skill; it’s the key to turning insights into action. Here’s how to communicate 𝗖𝗟𝗘𝗔𝗥-ly with your clients: 𝗖 - 𝗖𝗼𝗻𝘁𝗲𝘅𝘁: Start with the “why” 𝗟 - 𝗟𝗶𝘀𝘁𝗲𝗻: Understand client’s concerns 𝗘 - 𝗘𝘅𝗽𝗹𝗮𝗶𝗻 𝗦𝗶𝗺𝗽𝗹𝘆: Use plain language 𝗔 - 𝗔𝗰𝘁𝗶𝗼𝗻𝗮𝗯𝗹𝗲 𝗥𝗲𝗰𝗼𝗺𝗺𝗲𝗻𝗱𝗮𝘁𝗶𝗼𝗻𝘀: Focus on solutions 𝗥 - 𝗥𝗲𝗶𝗻𝗳𝗼𝗿𝗰𝗲 𝗨𝗻𝗱𝗲𝗿𝘀𝘁𝗮𝗻𝗱𝗶𝗻𝗴: Summarize key points Clear communication builds trust, prevents misunderstandings, and inspires action. Want to take your audit conversations to the next level? 👉 Check out our training courses designed to help auditors communicate with clarity and impact. How do you ensure your clients understand and act on recommendations?

Beating the Anxiety of Reporting to the Audit Committee When I was a new CAE, I used to get anxious during the week or two leading up to presenting to the Audit Committee. Having never presented to the Audit Committee before, I worried about being unable to answer their potential questions. To better prepare for anticipated questions and boost my overall confidence, I changed my approach to preparation. Here’s what I did: 1. 3–4 weeks before the meeting, I’d write a rough script of what I planned to share during my 15-minute slot. (My goal was to speak for 7–10 minutes.) 2. Then, I’d build slides that supported my talk track. 3. Next, I’d meet with key individuals who also regularly reported to the Audit Committee — and others I wanted to keep informed: - Manufacturing Finance Leader - Assistant Corporate Controller - CISO - CIO - VP of HR - Corporate Controller - General Counsel - CAO - CFO These were my regular check-in meetings with executives to stay updated on business activities—not additional meetings. I simply rescheduled them closer to the Audit Committee meeting. During each of these 1:1s, I’d spend 10 minutes walking through what I planned to present. This approach changed everything: First, it allowed me to refine my talking points by incorporating the relevant questions and perspectives shared by these executives during our prep meetings. Noticing common themes in their questions and including those answers in my presentation helped reduce my anxiety significantly. And also, I now had nine opportunities to practice and refine my message with senior executives. That helped me focus less on what I’d say and more on how to deliver it. One final tweak I made to my preparation was moving my 1:1 with the Audit Committee Chair closer to the actual AC meeting — 2–3 weeks out instead of 5–6. That allowed me to share more specific updates and get more targeted feedback. If I were back in the CAE seat today, I’d add two more things: 1. Tailor my messaging to the individual committee members. On one committee I served, we had a former EA partner, a banker, and an ops leader. That ops leader always leaned into non-routine audits. I’d adjust my message to highlight the parts that aligned with their expertise or past questions. 2. Tighten the talk track even more. I would further condense my talking points and reduce my presentation time to allow the Audit Committee more time for questions What practices do you use to help prepare for a great presentation to your Audit Committee? Internal Audit Collective #InternalAudit #SOX #ConnectedRisk #EnablingPositiveChange

📢 New Article Alert: “How to Write Internal Audit Findings that Don’t Get Rejected” Ever spent hours crafting an audit finding, only to be met with comments like: 🟡 “Not clear” 🟠 “Lacks impact” 🔴 “This isn’t even an issue” We don’t just audit. We influence decisions, protect integrity and shape the future of our organisations. But only if our findings stick. This article unpacks: ✅ Common reasons findings get rejected ✅ How to start with risk (not process) ✅ The 5 Cs structure that never fails ✅ How to write for non-auditors ✅ SMART recommendations that drive real change 📌 Backed by the Global Internal Audit Standards (2024) and the IIA Vision 2035 Report, this guide is your go-to reference for making your voice heard through your reports not just reviewed and filed. 💬 Have you ever had your findings rejected? Let’s hear your war stories and lessons below ⬇️ #InternalAudit #AuditQuality #IIAStandards #Vision2035 #AuditReporting #Governance #AssuranceWithImpact #AuditTips #LinkedInNewsletter #CommunicationMatters