Description

A focused course, tailored for you

ERP Controls Advisory: Oracle and D365 Audit Readiness

Build the controls testing playbook that turns ERP configuration evidence into a clean audit deliverable.

Client engagements involving Oracle or D365 in-scope for SOX or ITGC reviews regularly produce the same friction: the control exists in the system, the configuration screenshot exists in the workpaper, but the evidence pack cannot answer the auditor's follow-up questions without the advisory team re-entering the file. The course solves this by teaching you to build audit-ready ERP controls documentation from the scoping stage, not as a cleanup pass after fieldwork.

$199 one-time

Tailored to your situation. Access within 24 hours. 30-day money-back.

Includes a hand-built implementation playbook delivered alongside course access, generated for your specific situation.

Why this course

ERP advisory work in a controls assurance context requires two things most training does not address together: understanding what the Oracle or D365 configuration actually governs, and knowing how to translate that into evidence an auditor can evaluate independently. The result is workpapers that hold up under external review, engagement deliverables the client can hand to their auditors directly, and a controls advisory skill set that operates at the interface of ERP architecture and audit methodology. This course covers both sides of that interface across twelve structured modules.

What you walk away with

Scope Oracle and D365 in-scope controls against SOX ITGC and application control requirements with a documented rationale an auditor can follow.
Structure each control assertion so the configuration screenshot, the process owner, and the test objective are linked in a single workpaper line.
Identify control design gaps before fieldwork ends, not during management response.
Produce a client-deliverable evidence pack that stands without narration from the advisory team.
Map D365 security roles and approval workflows to segregation-of-duties requirements without relying on client-provided summaries.
Build a reusable controls scoping template that scales from a single module review to a full ERP controls assurance engagement.

The 12 modules

Module 1. ERP Controls Landscape for Advisory Engagements

Establish the framework for how Oracle EBS, Oracle Cloud Financials, and D365 Finance generate in-scope controls for SOX and ITGC purposes. This module maps the difference between IT general controls, automated application controls, and manual controls with IT dependencies, and explains how each category produces different evidence requirements and different workpaper structures. You leave with a controls classification schema you can apply to any ERP scoping conversation with a client.

Module 2. Scoping Oracle and D365 Controls Against ITGC Requirements

Walk through the scoping methodology for a SOX-relevant Oracle or D365 engagement from the initial process-to-system mapping to the final in-scope controls list. This module covers how to read process narratives, identify where the ERP is the system of record, and translate PCAOB AS 2201 ITGC categories into specific Oracle and D365 configuration domains. Output is a scoping document template with a rationale column an engagement manager or external auditor can review without supplementary explanation.

Module 3. Oracle EBS and Oracle Cloud Control Architecture

Understand the configuration layers in Oracle EBS and Oracle Cloud Financials that produce audit-relevant controls: user provisioning and access review in OIM or Oracle Cloud Security Console, approval hierarchies in Oracle Approvals Management, journal entry controls in Oracle General Ledger, and period-close process controls. The module explains which Oracle object corresponds to which ITGC assertion so you can pull targeted evidence rather than screenshot-collecting everything accessible.

Module 4. D365 Finance Control Architecture

Map the D365 Finance configuration domains relevant to ITGC and SOX: security roles and duties in the D365 Role Centre, approval workflows in the D365 Workflow module, segregation-of-duties conflicts in D365 Security Diagnostics, and financial period controls. This module includes a worked example of reading a D365 Role Centre export, identifying access control exceptions, and writing the control description and test objective in workpaper format.

Module 5. Evidence Standards for ERP Configuration Screenshots

Establish what makes an Oracle or D365 configuration screenshot audit-ready versus what makes it a re-request waiting to happen. This module covers the metadata required on each screenshot (date/time stamp, user context, system environment), the annotation layer that links each screenshot to a specific control objective, and the chain-of-custody documentation that proves the screenshot was captured from the production environment without modification. You build a screenshot capture and annotation protocol you can hand to a junior team member.

Module 6. Workpaper Structure for ERP Controls Testing

Design the workpaper template that integrates control description, test objective, evidence reference, exception documentation, and conclusion in a format that satisfies both engagement quality review and external auditor walkthroughs. This module works through a complete Oracle General Ledger journal entry control and a complete D365 approval workflow control, showing how each workpaper line is constructed so the auditor can verify the test without the advisory team narrating the file.

Module 7. Segregation of Duties in Oracle and D365

Build the SoD analysis methodology for Oracle EBS, Oracle Cloud, and D365 Finance that produces an auditor-ready conflict matrix rather than a raw role export. This module covers how to extract Oracle responsibility and function security data, how to read a D365 security role and duty structure, how to apply a standard SoD ruleset to identify conflicts, and how to document compensating controls when conflicts cannot be remediated before the audit window closes.

Module 8. User Access Reviews and Provisioning Controls

Cover the full advisory build for user access review and provisioning controls in Oracle OIM and D365 Identity Management: designing the review scope, obtaining population data, testing completeness and accuracy of the population, documenting the client's review process as a control, and identifying access control deficiencies at the provisioning and recertification process level. The module includes a worked example of an access review exception finding written to engagement quality standards.

Module 9. Change Management Controls for ERP Environments

Scope and test change management controls in Oracle and D365 that are relevant to financial reporting: the change request and approval workflow, the separation between development, test, and production environments, the code promotion process, and the emergency change procedure. This module explains how to map the client's actual change management process to the control assertion, identify where the ERP configuration enforces the control versus where it relies on manual procedures, and document the test in workpaper format.

Module 10. Interface and Data Migration Controls

Identify and test the automated interface controls and data migration controls that are in-scope for a SOX ERP engagement: completeness and accuracy of data transmitted between ERP modules or between ERP and upstream or downstream systems, reconciliation controls at the interface layer, and migration validation controls for ERP implementation or upgrade projects. The module includes a framework for scoping interface controls efficiently and a workpaper template for documenting interface control testing.

Module 11. Deficiency Evaluation and Management Response

Apply the PCAOB and AICPA deficiency evaluation framework to Oracle and D365 ITGC findings: classifying deficiencies as control deficiencies, significant deficiencies, or material weaknesses based on likelihood and magnitude, writing deficiency descriptions that are specific enough for management to act on, evaluating compensating controls, and drafting management response language that satisfies engagement quality review. The module works through three realistic ERP control deficiency scenarios and shows how the evaluation changes based on the financial account and assertion involved.

Module 12. Client-Ready Deliverable and Engagement Closure

Assemble the complete ERP controls advisory deliverable: a controls matrix with test results, a deficiency summary with management responses, a compensating controls assessment, and the engagement closure workpaper that documents overall ITGC conclusions. This module covers how to structure the client-facing report so it supports the client's external auditor relationship, what to retain in the engagement file, and how to build a reusable engagement template that reduces scoping and documentation time on the next Oracle or D365 engagement.

How this addresses your situation

Specific modules that map to what you said you are dealing with.

Engagement scoping phase: Modules 1-2 give you the controls classification and scoping methodology before fieldwork begins.

Fieldwork and evidence collection: Modules 3-8 cover Oracle and D365 architecture, evidence standards, workpaper construction, SoD, and access reviews.

Specialist controls testing: Modules 9-10 address change management and interface controls that often produce re-requests.

Deficiency evaluation and delivery: Modules 11-12 cover deficiency assessment, management response, and client-ready deliverable assembly.

What you get with this course

Twelve written modules covering Oracle EBS, Oracle Cloud Financials, and D365 Finance controls in an advisory context.
Downloadable ERP controls scoping template with ITGC category rationale columns.
Workpaper template for ITGC controls testing, pre-structured for Oracle and D365 evidence.
SoD conflict matrix template with Oracle and D365 role mapping worked examples.
Deficiency evaluation framework with three scenario walkthroughs.
Hand-built implementation playbook tailored to your engagement context, delivered alongside course access.

What you will have in hand by Day 1, Week 1, Month 1

Course access and implementation playbook provisioned within 24 hours of purchase.

Each module is self-paced and can be completed independently based on engagement phase.

Before and after

Before

ERP controls workpapers come back from engagement review or external auditor walkthroughs with questions the evidence pack cannot answer without additional client access or team narration.

After

Each workpaper line links a specific Oracle or D365 configuration screenshot to a named control owner and a testable assertion. The evidence pack stands on its own.

What happens if you do not address this

ERP controls re-requests extend the audit timeline, create client relationship friction, and signal a controls advisory methodology that does not scale. The documentation gap is visible to the external auditor and to the engagement quality reviewer. Resolving it requires a structured scoping and evidence methodology, not more time in the system.

Who it is for

Advisory professionals working on SOX readiness, ITGC testing, or internal controls assurance engagements where Oracle EBS, Oracle Cloud, or Microsoft D365 Finance is in scope. You are responsible for scoping controls, collecting configuration evidence, and building the workpaper that the audit team reviews. You know the ERP modules. You need a rigorous method for translating that knowledge into audit-grade deliverables.

Who this is NOT for. Security engineers configuring the ERP at the infrastructure layer. Internal audit staff at companies running their own programmes rather than external advisory. Anyone whose role does not involve producing evidence packs or workpapers reviewed by external auditors.

How it arrives

Text-based course in the Art of Service learning environment, plus downloadable templates and worked examples for every module, plus the hand-built implementation playbook delivered alongside course access.

Time investment. Approximately 60-90 minutes per module. The scoping and workpaper modules can be applied directly to an active engagement.

Why $199 is the right number

Standard SOX training covers ITGC categories at a framework level but does not address Oracle or D365 configuration architecture. ERP vendor certifications cover system administration but not audit methodology or evidence standards. This course covers the advisory intersection: ERP configuration knowledge applied to controls assurance methodology and workpaper construction.

FAQ

Does the course cover Oracle Cloud specifically, or just Oracle EBS?

Both. Module 3 covers Oracle EBS access and approval controls and Oracle Cloud Financials configuration, noting where the evidence collection method differs between the two environments.

Is this relevant if the engagement also covers non-ERP IT systems?

Yes. The scoping methodology in Module 2 applies to any in-scope IT system. Modules 3-4 are Oracle and D365 specific. The workpaper structure, deficiency evaluation, and client deliverable modules apply regardless of system.

What level of Oracle or D365 access is assumed?

Advisory-level read access sufficient to export role configurations and capture configuration screenshots. The course covers how to request and scope that access from the client. It does not require administrative access to the ERP.

30-day money-back guarantee. If after a week of working through the materials this is not what you needed, reply to the receipt email and a full refund is processed. No questions, no forms.

Within 24 hours your account in the learning environment is provisioned and the tailored implementation playbook is delivered alongside it.