Role-Based Programme
RB0973

NotebookLM for Risk & Internal Audit

Analyse Evidence, Identify Risks & Build Source-Grounded Audit Insights

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Duration
8 Hours
Level
Basic
Delivery
Instructor-Led
Format
Workshop

Programme Objectives

  • Build foundational proficiency in using NotebookLM to organise and analyse audit, risk, policy, control, and compliance information.
  • Use source-grounded AI to review evidence, policies, procedures, control documentation, and management information.
  • Identify risks, control requirements, inconsistencies, information gaps, and recurring themes across multiple sources.
  • Create structured audit briefs, risk summaries, control-review notes, and remediation follow-up outputs.
  • Apply appropriate source validation, confidentiality, professional judgement, and human review throughout AI-assisted audit work.

Tools covered

NotebookLMSource-Grounded ChatCitationsFile & Web SourcesSource OrganisationDeep ResearchReportsMind MapsData Tables

Who should attend

  • Internal Auditors
  • IT Auditors
  • Risk Management Professionals
  • Enterprise Risk Professionals
  • Technology Risk Professionals
  • Internal Controls Professionals
  • Governance, Risk & Compliance Professionals
  • Compliance Professionals
  • Risk Assurance Professionals
  • Audit Managers
  • Process Assurance Professionals
  • Third-Party Risk Professionals

Prerequisites & Participant Readiness

  • Basic understanding of risk, audit, controls, or compliance processes
  • Familiarity with policies, procedures, audit evidence, or control documentation
  • Basic experience working with business documents and reports
  • No programming or advanced AI knowledge required
  • No previous NotebookLM experience required

TOC Modules

Concepts
  • Understanding NotebookLM as a source-grounded AI research and analysis environment
  • Understanding notebooks, sources, citations, chat, and generated outputs
  • Identifying applications across audit planning, risk reviews, control analysis, and documentation
  • Understanding the difference between AI-assisted analysis and formal audit evidence
Practical activities
  • Creating a notebook for a sample audit or risk review
  • Adding relevant audit, policy, process, and control documents
  • Asking source-grounded questions and tracing answers back to citations

Scenarios

Control Documentation to Audit Risk Review

Policies & Procedures → NotebookLM Sources → Control Extraction → Evidence Comparison → Risk / Gap Identification → Auditor Validation → Audit Brief

Participants consolidate policies, procedures, control descriptions, and supporting documents to identify control requirements, inconsistencies, evidence gaps, and areas requiring further audit testing.

Audit Finding to Remediation Assessment

Audit Finding → Management Response → Supporting Documents → NotebookLM Analysis → Evidence Comparison → Remediation Status → Auditor Review

Participants analyse findings, management commitments, and supporting information to determine whether remediation claims are adequately supported and prepare a structured follow-up summary.

## Current Capability Note

NotebookLM supports source-grounded Q&A with citations, multiple uploaded and web-based sources, automatic source organisation, and Deep Research that can import research reports and supporting sources into a notebook. AI-generated outputs should still be verified against original evidence before being relied upon for audit conclusions.

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