Internal audit and control, as well as risk management in the activity of financial and banking institutions

In the current economic context, the main purpose of this course is to present the best techniques and methods of audit and internal control, the significant risks management process that a financial institution is subject to.

This course aims to provide an overview of the significant risks that could arise most often in a financial and banking institution in its current activity and how internal audit comes in as part of the monitoring of the internal control system, in order to achieve the objective of improving their work.

Course objectives

At the end of the course, participants will be able to:

  • Obtain an overview of the role of internal audit in the risk management process of banking and financial institutions;
  • Identify the main problems encountered in the practice of internal audit in financial institutions;
  • Understand the management of significant risks within the banking financial institutions.


This course addresses especially:

  • Internal auditors;
  • Managers
  • Personnel from Risk Management departments.

Identifying, assessing and monitoring significant risks with which the the banking financial institution are facing may be a concern for people in several departments. Taking into account the general and practical aspect of the course, any interested person may attend and easily assimilate the content.


  • The concept of internal audit, internal audit standards and national legislation
  • The control environment and risk management in financial and banking institutions
  • Methods of risk assessment, areas of significant risk
  • The role of internal audit in the risk management process
  • Methods and techniques of internal audit of various risk areas of financial and banking institutions
  • Case Studies: the process of identification, assessment and quantification of significant risks specific to financial and banking institutions, auditing significant risk areas


Laura Roza Toni, Manager

Laura is Manager in the Department of Risk Services (ERS).

Laura has been involved in projects of financial auditing and consultancy especially for financial institutions. Her experience in financial and banking advisory services covers the following areas: IFRS, accounting consulting, internal audit and risk assessment process optimization, risk management etc.


  • Financial Auditor – Chamber of Financial Auditors of Romania
  • Chartered Accountant – Body of Expert and Licensed Accountants of Romania
  • Tax Consultant – Tax Consultants Chamber of Romania

Nora Clarisa Bulai, Manager

Clarisa has over 9 years experience in consultancy and risk management, internal audit, external audit, risk assessment for business processes, assessment of internal control system, internal audit and risk management training, testing the design, implementation and operating effectiveness of controls for the various business processes (eg. Revenue, Expenses, Inventory, Fixed Assets, Payroll), assessment of compliance of the internal control environment with the requirements of Sarbanes Oxley section 404 in different sectors: the public sector, finance, telecommunications, manufacturing and distribution, etc.

Before joining Deloitte, Clarisa worked for Romtelecom as internal auditor being involved in the implementation of the requirements of Sarbanes Oxley 404 for the business cycle “Income”. Clarisa graduated in Economics and Business Administration, from the Alexandru Ioan Cuza University, Iaşi.

She is a member of the Association of Internal Auditors Romania, Institute of Internal Auditors, U.S. and has obtained the certifications Certified Internal Auditor (CIA), Certified Government Auditing Professional (CGAP), Certification in Risk Management Assurance (CRMA) and Certified Information Systems Auditor (CISA).


TBA, from  9:00 to 17:00

RBI will hold the course at its premises, providing specialized lecturers, course materials, required material resources and catering services during the training day.


Emilia Frunză, Training manager

Telephone: 0748 886 834