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AI and the internal audit process
By:Ken Petersen
AI technology can drive audit productivity and efficiencies. Although best practices are still emerging, there are advantages and disadvantages to using GenAI across each stage of the audit lifecycle.
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ArticleComplianceAugust 15, 2024The organizational risks of social mediaBy:Dana Lawrence, CIA, CRMA, CFSA, CAMS, CRVPM, CCAInternal Audit is uniquely positioned to take the lead with a comprehensive understanding of risk management programs that effectively governs social media and its reputational impacts on organizations.
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ArticleComplianceJune 05, 2024AI, cybersecurity, and the need for appropriate governanceBy:Mark Maraccini Mike Del GuidiceThe value of AI is clear, but organizations face newly emerging risks. Internal auditors can become a valuable partner in ensuring AI governance meets all security, compliance, and quality standards.
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ArticleComplianceMay 23, 2024Global perspectives and insights: Innovation and technologyBy:Jim Pelletier, CIA, CGAPDennis Wong, CIA, CFSANisha Nair, CIA, FCCA, UAECA, CFE, ACMA, CGMATechnology has become the unquestioned driver for change and business innovation. This three-part series, created in partnership with the IIA, focuses on internal audit's role in tech assurance, adoption, and internal audit's tech talent challenge.
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ArticleComplianceMay 16, 2024Digital assets: Understanding the fundamentals and how to support appropriate governance in areas of emerging technologyBy:Dana Lawrence, CIA, CRMA, CFSA, CAMS, CRVPM, CCALearn how to proactively identify and understand the various types of digital assets and how to safeguard against potential threats.
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ArticleComplianceApril 29, 202410 tips to impactful internal Audit Committee reportingBy:Jonathan ChapmanClear, relevant, and frequent communication between internal audit, the Audit Committee, and the Board is critical to driving organizational transformation, and
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ArticleComplianceApril 26, 2024Innovation and technology part 3: Internal audit’s tech talent challengeBy:Jim Pelletier, CIA, CGAPDennis Wong, CIA, CFSANisha Nair, CIA, FCCA, UAECA, CFE, ACMA, CGMAInternal audit can and should be technology’s biggest advocate in the organization. It is the change-bearer, the partner, the bringer of good news.
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ArticleComplianceApril 26, 2024Innovation and technology part 2: Staying on top of the organization's technology adoptionBy:Jim Pelletier, CIA, CGAPDennis Wong, CIA, CFSAWhile adopting new technologies can bring risk, it’s also important to remember the dangers of failing to stay up to date on new tools.
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ArticleComplianceApril 10, 2024Innovation and technology part 1: Internal audit's role in technology assuranceBy:Jim Pelletier, CIA, CGAPHelp ensure that the organization’s overall approach to technology risk and the audit plan adequately address potential technology risks.
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ArticleComplianceApril 02, 2024The four stages of implementing an integrated approach to assurance provisionBy:Jonathan ChapmanThere is no single way to determine the optimum level of integrated assurance. The four stages outlined in this report provide a framework to use in exploring the right approach for your organization.
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ArticleComplianceMarch 14, 2024Economic uncertainty: How internal audit can adapt to the shifting risk landscapeBy:Kevin GouldFrom supply and demand to rising inflation and interest rates, impactful events create disruptions in the economy. Understanding how this impacts an organization’s risk profile is important.
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ArticleComplianceESGMarch 07, 2024The ABCs of ESG and the impact of internal auditBy:Kevin GouldCollaborating with second-line assurance functions, internal audit can help organizations achieve a more complete picture of ESG risks and controls for effective decision-making and reporting.
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ArticleComplianceFebruary 20, 2024Establishing a risk-audit relationship: What internal auditors should knowBy:John J. HallDownload this report to bring precision and clarity to what you need to know to strike a balance between ‘models’ and ‘mindsets’ and achieve more effective audit-based risk assessment and management.
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ArticleComplianceJanuary 24, 2024Extend your contribution with high performance auditBy:Jonathan ChapmanIs it your goal to become part of a high performing internal audit team? Download this report to learn about the four characteristics that, when combined, deliver leading internal audit performance.
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ArticleComplianceJanuary 10, 2024Fraud: Learning from the past, acting for the futureBy:John J. HallStrong internal controls are the foundation for fraud prevention. Internal auditors are uniquely positioned to identify the action lessons from past case failures as part of their value-added efforts.
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ArticleComplianceDecember 13, 2023Understanding cybersecurity: An overview to help protect your organizationBy:Cole SchenckThe cyber-threat landscape is evolving. Data analytics can be a proactive approach to cybersecurity using data collection, aggregation, and analysis to protect the well-being of your organization.
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ArticleComplianceDecember 07, 2023Adopting a precautionary approach to AI implementationBy:Deep NandaInternal auditors should maintain a critical mindset in assessing the risks and ethical implications of AI’s growing footprint, rather than the novelty of the latest technology.
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ArticleComplianceNovember 08, 2023Internal controls: An analysis of the how, the why, and the whatBy:John J. HallBusiness best practices, regulations, and standards all require organizations to build and document sound internal controls. Download this report to learn from internal control examples.
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ArticleComplianceOctober 25, 2023Five-step root cause audit planning analysis, using data analyticsBy:Ken PetersenData analytics play a pivotal role in guiding audits and helping to uncover insights. Download this report to learn how the technique of root cause analysis can help internal auditors unravel the narrative behind the numbers.
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ArticleComplianceOctober 17, 2023Cybersecurity and the role of the NIST Cybersecurity Framework (CSF)By:Mike Del GuidiceKiel MurrayThe consequences of cyberattacks are increasingly severe and more complex. A cybersecurity framework prioritizes a flexible, repeatable, and cost-effective approach to cybersecurity preparedness, promoting the protection of your organization.
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ArticleComplianceESGOctober 04, 2023Auditing organizational culture: A challenge worth takingBy:Jonathan ChapmanSuccessful auditing of culture requires a holistic approach across the internal audit function covering the development of internal auditor skills, adjustment to audit methodology, and buy-in from the business.
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ArticleESGComplianceSeptember 20, 2023ESG and the growing opportunity for Internal AuditBy:Jim Pelletier, CIA, CGAPInternal auditors will have a pivotal role to play as mandatory ESG reporting gains momentum and organizations face increasing pressure on the reliability of their non-financial reporting.
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ArticleComplianceSeptember 14, 2023Data visualization that increases stakeholder engagementBy:Kadie WeyerUsing data visualization when presenting your audit findings can improve the effectiveness and efficiency of your audit report.
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ArticleComplianceAugust 02, 2023Audit suggestions that influence management actionBy:John J. HallLearn more about what auditors can do to identify issues, provide solutions, and influence management where action is needed.
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ArticleComplianceJuly 26, 2023Identifying and managing strategic public sector risksBy:Mark MaracciniLearn more about the fast-changing landscape of the public sector and how government agencies are mitigating risk efficiently and effectively.
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ArticleComplianceJune 15, 2023Business risk identification, assessment, and management: An act in 3 partsBy:John J. HallDownload this report to better understand the measures every auditor can take to help mitigate the impact of organizational risk.
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ArticleComplianceFinanceTax & AccountingUpdatedSeptember 08, 2023An integrated approach to improving your audit efficiency: Delivering value to the organizationBy:Jonathan ChapmanAchieving greater audit efficiency should be a constant ambition for every internal audit team. Learn about an effective framework to improve audit efficiency.
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ArticleESGComplianceUpdatedSeptember 08, 2023The ultimate buyer’s guide to audit management softwareBy:TeamMateDiscover how to select the right audit management software for your business with our most popular download: The ultimate buyer's guide to audit management software.
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ArticleESGComplianceMay 19, 2023Buyer’s guide: Readiness questionnaireBy:TeamMateThis guide is intended to help audit departments prepare for audit management software vendor discussions and is a supplement to the buyer’s guide.
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ArticleESGComplianceMay 09, 2023The ESG landscape and the challenges facing Internal AuditBy:Jim Pelletier, CIA, CGAPMichelle HurleyDownload this report to better understand how the skills of an internal auditor can be leveraged to support an organization’s ESG strategy.
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ArticleComplianceMay 03, 2023UK SOX: Once in a generation audit reformBy:Amin El MoutaouakilDownload this report to better understand how UK SOX is a regulatory framework designed to increase transparency, accountability, and investor trust in UK public companies.
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ArticleComplianceESGApril 25, 2023ESG, public sector, and the role of Internal AuditBy:Mark MaracciniThis report considers the role of internal audit and how it can help public sector organizations move forward responsibly with their ESG implementation.
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ArticleComplianceApril 11, 2023The building blocks of adopting agile auditBy:Sio NaidooThis report explores how agile audit is the catalyst for achieving audit modernization.
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ArticleComplianceFinanceTax & AccountingESGMarch 29, 2023Audit data analytics: Bringing value to your IT controlsBy:TeamMateThis report explores how data that’s extracted from your audit processes enables greater results.
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ArticleComplianceFinanceTax & AccountingESGMarch 08, 2023Making the case for ransomware resiliencyBy:Michael TrpkoshInternal audit teams can provide assurances over IT practices and controls and play a supportive role in combating ransomware risks.
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ArticleComplianceFebruary 28, 2023A practical guide to auditing remotelyBy:TeamMateInterviews require face-to-face meetings, testing often involves reviewing confidential information, and documentation could require us to be on our organization’s network. With these challenges, how can we effectively conduct our audits remotely?
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ArticleESGComplianceFebruary 08, 2023How internal audit can integrate ESG into third-party risk managementBy:Michelle HurleyKevin GouldESG factors are used to evaluate a company’s commitment to sustainable operations.
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ArticleComplianceFinanceTax & AccountingUpdatedSeptember 08, 2023Managing internal audit riskBy:Jonathan ChapmanLearn about the importance of clearly defining, establishing, and managing internal audit risks.
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ArticleComplianceFinanceTax & AccountingUpdatedSeptember 08, 2023The auditor’s guide to battling the many-headed monster, named RiskBy:TeamMateWant to learn more about risk management? Detection and mitigation are essential to continued business operations.
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ArticleComplianceFinanceTax & AccountingUpdatedSeptember 08, 2023Leveraging data to build, sustain, and grow an effective internal audit programBy:Sio NaidooData analytics provide assurance and insight. Learn more about the internal audit function and their role as trusted advisors.
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ArticleComplianceFinanceTax & AccountingNovember 07, 2022How digital capabilities impact the balance of compliance and ITBy:TeamMateInternal audit teams broadly agree on their mission, but each internal audit department makes individual decisions about priorities.
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InfographicComplianceFinanceTax & AccountingNovember 03, 2022Digital skills assessment matrixBy:TeamMateHow can we move forward with improving digital skills, given how important they’re becoming? Complete a digital skills assessment, identifying gaps between the digital skills we have and our objective, and creating a plan to address those gaps.
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ArticleComplianceFinanceTax & AccountingUpdatedSeptember 08, 2023TeamMate Audit Benchmark: Why internal audit needs to address third-party riskBy:TeamMateTeamMate Audit Benchmark highlighted three key findings for internal auditors. First, internal audit teams need to revamp their methodologies to be more adaptive and responsive.
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ArticleComplianceFinanceTax & AccountingUpdatedSeptember 08, 2023Changing the internal audit functionBy:Jonathan ChapmanLearn about the 4 characteristics of internal audit functions successfully rely on to achieve continual and strategically aligned change.
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ArticleComplianceFinanceTax & AccountingSeptember 14, 2022What's trending in methodology change and how to make new rulesBy:TeamMateAccording to the TeamMate Audit Benchmark, 36 percent of the respondents indicate they are planning a significant methodology change by the end of 2022.
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ArticleComplianceFinanceTax & AccountingUpdatedSeptember 08, 2023Agile audit: A conversation about coaching, implementation, and tips for practical executionBy:TeamMateAuditors are moving toward an agile and adaptive mindset. Discover real-world advice around agile adoption and the practical steps to get you started.
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ArticleComplianceFinanceTax & AccountingUpdatedSeptember 08, 2023Improving the quality of your audit with data analyticsBy:TeamMateCurious about the benefits of data analytics in audit? Add value to your organization by embedding data analytics into your audit testing.
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ArticleComplianceFinanceTax & AccountingUpdatedSeptember 08, 2023TeamMate Audit Benchmark: Responding to changeBy:TeamMateTeamMate Audit Benchmark is an ongoing assessment of the trends in methodology and work practices of global internal audit teams.
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ArticleComplianceFinanceTax & AccountingUpdatedSeptember 08, 2023TeamMate Audit Benchmark: Responding to change for Financial ServicesBy:TeamMateTeamMate Audit Benchmark is an ongoing assessment of the trends in methodology and work practices of global internal audit teams within the financial services industry.
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ArticleComplianceFinanceTax & AccountingJune 02, 2022Agile audit delivery: Start with the "why" and focus on the "how"By:Mark WilliamsTake an agile approach to your agile audit process. You must learn to crawl before you walk and walk before you run. Think evolution, not revolution.
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ArticleComplianceFinanceTax & AccountingMay 04, 2022Audit ambitiously: How to propel your internal audit team to new heightsBy:Sio NaidooFind out what 3 steps are necessary to audit ambitiously and move your internal audit function to the next level, and how to take them.
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ArticleComplianceFinanceTax & AccountingESGFebruary 09, 2022Practical guide for implementing an agile audit sprint frameworkBy:Mark WilliamsIn this article, we take a close look at the practicalities of using an agile team-level framework to work in sprints to deliver audits more effectively and efficiently.
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ArticleESGComplianceUpdatedSeptember 08, 2023The role of internal audit in ESGBy:Kevin GouldWith a recent focus on issues such as diversity and climate change, it has become increasingly urgent for organizations to understand and manage Environmental, Social, and Governance (ESG) risks.
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ArticleComplianceFinanceTax & AccountingDecember 15, 2021Walking the talk: Rethinking value creation in internal audit“Value” is often used somewhat loosely in internal audit without adequately understanding how auditors actually add value. Do you add value just by showing up to conduct an internal audit?
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ArticleComplianceNovember 17, 2021Emerging risks in financial services auditFinancial services is a complex and ever-evolving industry. In this report, we outline some emerging risks that can spring up and catch organizations off guard.
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ArticleComplianceFinanceTax & AccountingOctober 16, 2021Data analytics: The magic tool of fraud detectionData analytics is changing the way many organizations detect fraud. As fraud schemes become more sophisticated and the amount of data organizations produce continues to grow, it’s becoming increasingly difficult to uncover fraud.
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ArticleComplianceUpdatedSeptember 15, 2021Assessing the current state of IT Risk in your organizationWorking from home has become a gateway to cyber threats as employees can sometimes be a weak link in corporate IT security systems. There are several things remote workers can do to reduce their own contribution to an organization’s IT risk.
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ArticleComplianceFinanceTax & AccountingAugust 18, 2021Key benefits of agile auditBy:Mark WilliamsBeing agile-minded requires you to rethink how internal audit teams perform their work and add value to stakeholders.
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ArticleComplianceMay 18, 2021Enabling constraints: Helping agile ways of working to stickBy:Mark WilliamsI’d like to introduce the concept of enabling constraints as a way of changing the system. Better than that, change and behaviours that will stick and have longevity – and avoid “rubber band syndrome.”
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ReportComplianceMarch 04, 2021The impact of advanced technologies on internal audit: Where should you start?By:TeamMateArtificial intelligence, Robotics Process Automation (RPA), and machine learning—all new technologies that are evolving quickly. But how much do you really know about them? Internal Auditors will soon be tasked with using this technology.
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ArticleComplianceDecember 03, 2020The future of ongoing risk evaluation in your organizationBy:TeamMateWith so much happening all around us, how can internal auditors manage risk and environmental changes to deliver timely insights that matter most to the business?
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ArticleComplianceNovember 05, 2020Staffing for the future of internal auditBy:TeamMateInternal auditors with a background in IT or data analytics are in high demand these days. But finding internal auditors with this type of skill set is hard, and retaining them is even more challenging.
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ArticleComplianceMarch 13, 202010 steps to embedding analytics in control managementBy:TeamMateAlthough auditors often associate data analytics with fraud testing, financial audits, or continuous monitoring, the fact is that data analytics can be used for much more than common numerical analytical procedure testing.
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ArticleComplianceDecember 16, 2018Growth mindset as a key to audit team successBy:Sio NaidooMindset is the foundation of success and is created through the combination of education, training, and experience. We should therefore consider mindset in an internal audit team’s performance.
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ArticleComplianceOctober 09, 2018Auditing culture: A red flag approachBy:TeamMateIs auditing culture just another risk factor in a governance audit, or could it be seen as the basis for the entire audit plan?