Building better audit

client relationships Alison Diana, Director, APD Consulting & Coaching Ltd

APD Coaching

Format of session

• Why are relationships important?

• Building the relationship

• Conversations – more than what you say

• What are the barriers to good relationships?

• Building credibility

• Who are your stakeholders?

• What do your stakeholders want?

• What do your audit clients think of IA?

• Q & A

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Why are relationships important?

• Auditing is about people - emotional intelligence

• Helps you do your job better

• New areas of audit – culture and conduct

• Social beings

• Strategically builds audit’s reputation

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"The most important single

ingredient in the formula of success

is knowing how to get along with

people.”

— Theodore Roosevelt

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Building the relationship

• Build rapport – people like people like them

• Rapport promotes trust and puts people at ease

• If people are comfortable they will share information with you

• Need to be clear on your role as an auditor – don’t abuse trust

• Mirror their gestures and posture; match their energy levels; eye contact

• Playback and reflect their words

• Be interested not judgmental

• Be authentic

• Be present

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Asking great questions

• To gather information

• To gauge commitment

• To raise awareness

• To gather options

• To check out decisions and goals

• To challenge perception

• To change focus

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Types of questions

• Open questions that draw out information and make the

auditee think. Use of what, how, when, what if?

• Layering, drilling down – to take the conversation down

to the next level, for more detail, or to encourage sharing

• Clarifying questions – to check information has landed

and been understood as intended

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Listening to learn

• When we ask questions are we doing it from a stand point of wanting to learn?

• Are we open to what is being said?

• Are we really listening or are we thinking about the next question to ask?

• Are we listening or are we making assumptions and filling in the blanks?

• Do we listen to really hear or just to confirm what we already think we know?

• When building a relationship we should listen more than we speak

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APD Coaching

Conversations are more than the language you use

• Does your posture and demeanor reflect your language

or are they in opposition?

• Do you use strong clean language or self effacing

language that undermines you?

• Think about how you want to project yourself

• What is your body language saying?

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Being Transparent

Focus on building

Relationships

Using Curiosity to understand

others’ perspective

Focusing on Shared success

Truth Telling and testing

assumptions TRUST

Collaboration – Finding common ground /common purpose

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Key Barriers Adapted from Judith Glaser ‘Conversational Intelligence’

Addicted to being right

Distrust and fear

Lack of empathy

Listening filters

Lack of time

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Key Barriers Adapted from Judith Glaser ‘Conversational Intelligence’

• Addicted to being right – see the world through I-centric

point of view. Person on the receiving end feels attacked.

Make space for others to have a different point of view.

• Distrust and fear – if prior experience with internal audit

was of fear and distrust, come with the assumption this

experience will be the same. They are in ‘wait and see’

mode to see if they can trust you.

APD Coaching

Key Barriers Adapted from Judith Glaser ‘Conversational Intelligence’

• Lack of empathy – acknowledge and recognise if things

are tough for them. By verbalising this it builds rapport.

• Listening filters – when we think we know the answer we

stop listening; or we listen for evidence to support what

we think.

• Lack of time – building relationships takes time. Invest

that time.

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Building credibility • What does this mean – technical skills /professionalism /

relationships?

• Clarity of purpose

• Do you deliver what you say you will? Results

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Credibility

Perceived trust

Perceived

expertise Credibility + =

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Credibility – the 3 Cs Composure

Character Competence APD Coaching

Identifying and managing stakeholder

relationships

• Relationship map

• Regular relationship management – continuous auditing

• Invest time

• Two way process – find out what stakeholders want

• Stay flexible and avoid being too rigid

• How do you manage and share the information you

gather?

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Manage Closely Keep Satisfied

Keep Informed Monitor

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What do your clients want from audit?

• Do you know what your client wants from an audit? Have

you asked them?

• Take a moment to put yourself in their shoes and think

about improvements that can be made to make an audit

a good experience.

• Do you understand the key risks for clients? How can

you work with them and help?

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What do your clients think of IA?

• Do you know what your audit clients think of your team?

• What is your process for finding out?

• How respected is the role of Internal Audit and are IA views acted upon?

• How engaged are your team?

• How comfortable are they at building relationships?

• Do they embrace meeting new people and discovering, learning and staying curious?

• Or do they audit by email and avoid face to face contact?

• What type of role model are you?

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APD Coaching

Q & A

apdcoaching@btinternet.com