Example Internal Audit Work Program / Risk and Control Matrix (RCM)
Maintaining appropriate controls over the recruitment and onboarding, such as ensuring contracting and background check processes are performed, is important to ensure there is no fraud, the business is meeting any local regulatory requirements and the business is making sure any new joiners are getting the best start to their new career with your company.
We have developed a generic Internal Audit Work Program, or Risk and Control Matrix (RCM) aimed at helping audit teams ensure controls over the recruitment and onboarding processes have been designed and implemented correctly, and are also operating effectively.
The testing work program is built within our example 'Excel' audit file. The test plan has also been mapped to an example audit scope and objectives, and includes example risks and controls. See below for an extract from the example work program file.
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As always, this is a generic template. You should review this template in detail and edit accordingly so it is suitable for your business.