Engagement Planning - Roles and Responsibilities

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1.0 Credits

In this new CPE course, you will evaluate the roles and responsibilities of various parties involved in an employee benefit plan audit. Assessing the areas and extent of the roles for these parties is important for auditors to incorporate into EBP audit planning. This course will take you through exercises in EBP audit planning related to executing the defined responsibilities and assessing communications with these parties.


  • Evaluate how the firm, client, third parties, and specialists execute defined responsibilities and recognize the effect of execution issues on the engagement.
  • Assess in which areas, and to what extent to use the work of others with respect to the engagement.
  • Assess communications with the client, those charged with governance, third parties, or specialists when planning the engagement.

Major Topics

  • Roles and responsibilities of third parties and specialists
  • Extent to use work of others
  • Planning communications with client, third parties or specialists

Designed For

Auditors from small to large firms interested in enhancing their intermediate to advanced competencies in employee benefit plan auditing.

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