Regulatory Compliance Association Reviews

The Value of Internal Audit

Practice Edge 02

Date: July 21, 2016
General Session: 12 Noon to 1:30 PM EST
Location: Webcast (Free)

Interested in CCE (Continuing Compliance Education)™, CLE or CPE (A & A hours)?

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Internal audit is adding value to financial services organizations and assisting management in how it approaches risk. Financial service organizations continue to facie concerns from their clients and regulators on how they evaluate their risk and ongoing monitoring of the mitigating controls. The risk governance culture is an important part of the organization and internal audit plays an important role in this process. Internal audit can assist management in the 3rd line of defense to assist risk identification, risk remediation, and governance and attitude. Internal audit is able to provide an independent and objective view of the organization. This Course will provide an overview of common and leading value add provided by Internal Audit organizations.

Students will master the following at the conclusion of this session:

  • Value of internal audit
  • Common risk governance structure
  • 3 lines of defense
  • Audit plan development
  • Internal audit approach
  • Reporting to management and the Boards

Session Chairman:

Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
Chairman, Regulatory Compliance Association

Senior Fellow from Practice:

Daniel New, Executive Director, EY

Guest Lecturers:

Alisa Marotta, Senior Manager, EY
Jim Nee, Senior Manager, EY

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