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Compliance
AI and the internal audit process
Par :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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ArticleComplianceaoût 15, 2024The organizational risks of social mediaPar :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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ArticleCompliancejuin 05, 2024AI, cybersecurity, and the need for appropriate governancePar :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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ArticleCompliancemai 23, 2024Global perspectives and insights: Innovation and technologyPar :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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ArticleCompliancemai 16, 2024Digital assets: Understanding the fundamentals and how to support appropriate governance in areas of emerging technologyPar :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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ArticleComplianceavril 29, 202410 tips to impactful internal Audit Committee reportingPar :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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ArticleComplianceavril 26, 2024Innovation and technology part 3: Internal audit’s tech talent challengePar :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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ArticleComplianceavril 26, 2024Innovation and technology part 2: Staying on top of the organization's technology adoptionPar :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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ArticleComplianceavril 10, 2024Innovation and technology part 1: Internal audit's role in technology assurancePar :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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ArticleComplianceavril 02, 2024The four stages of implementing an integrated approach to assurance provisionPar :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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ArticleCompliancemars 14, 2024Economic uncertainty: How internal audit can adapt to the shifting risk landscapePar :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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ArticleComplianceESGmars 07, 2024The ABCs of ESG and the impact of internal auditPar :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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ArticleCompliancefévrier 20, 2024Establishing a risk-audit relationship: What internal auditors should knowPar :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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ArticleCompliancejanvier 24, 2024Extend your contribution with high performance auditPar :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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ArticleCompliancejanvier 10, 2024Fraud: Learning from the past, acting for the futurePar :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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ArticleCompliancedécembre 13, 2023Understanding cybersecurity: An overview to help protect your organizationPar :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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ArticleCompliancedécembre 07, 2023Adopting a precautionary approach to AI implementationPar :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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ArticleCompliancenovembre 08, 2023Internal controls: An analysis of the how, the why, and the whatPar :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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ArticleComplianceoctobre 25, 2023Five-step root cause audit planning analysis, using data analyticsPar :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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ArticleComplianceoctobre 17, 2023Cybersecurity and the role of the NIST Cybersecurity Framework (CSF)Par :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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ArticleComplianceESGoctobre 04, 2023Auditing organizational culture: A challenge worth takingPar :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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ArticleESGComplianceseptembre 20, 2023ESG and the growing opportunity for Internal AuditPar :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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ArticleComplianceseptembre 14, 2023Data visualization that increases stakeholder engagementPar :Kadie WeyerUsing data visualization when presenting your audit findings can improve the effectiveness and efficiency of your audit report.
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ArticleComplianceaoût 02, 2023Audit suggestions that influence management actionPar :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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ArticleCompliancejuillet 26, 2023Identifying and managing strategic public sector risksPar :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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ArticleCompliancejuin 15, 2023Business risk identification, assessment, and management: An act in 3 partsPar :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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ArticleComplianceFinance et gestionFiscalité et comptabilité Mis à jourseptembre 08, 2023An integrated approach to improving your audit efficiency: Delivering value to the organizationPar :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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ArticleESGComplianceMis à jourseptembre 08, 2023The ultimate buyer’s guide to audit management softwarePar :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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ArticleESGCompliancemai 19, 2023Buyer’s guide: Readiness questionnairePar :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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ArticleESGCompliancemai 09, 2023The ESG landscape and the challenges facing Internal AuditPar :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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ArticleCompliancemai 03, 2023UK SOX: Once in a generation audit reformPar :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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ArticleComplianceESGavril 25, 2023ESG, public sector, and the role of Internal AuditPar :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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ArticleComplianceavril 11, 2023The building blocks of adopting agile auditPar :Sio NaidooThis report explores how agile audit is the catalyst for achieving audit modernization.
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ArticleComplianceFinance et gestionFiscalité et comptabilité ESGmars 29, 2023Audit data analytics: Bringing value to your IT controlsPar :TeamMateThis report explores how data that’s extracted from your audit processes enables greater results.
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ArticleComplianceFinance et gestionFiscalité et comptabilité ESGmars 08, 2023Making the case for ransomware resiliencyPar :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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ArticleCompliancefévrier 28, 2023A practical guide to auditing remotelyPar :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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ArticleESGCompliancefévrier 08, 2023How internal audit can integrate ESG into third-party risk managementPar :Michelle HurleyKevin GouldESG factors are used to evaluate a company’s commitment to sustainable operations.
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ArticleComplianceFinance et gestionFiscalité et comptabilité Mis à jourseptembre 08, 2023Managing internal audit riskPar :Jonathan ChapmanLearn about the importance of clearly defining, establishing, and managing internal audit risks.
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ArticleComplianceFinance et gestionFiscalité et comptabilité Mis à jourseptembre 08, 2023The auditor’s guide to battling the many-headed monster, named RiskPar :TeamMateWant to learn more about risk management? Detection and mitigation are essential to continued business operations.
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ArticleComplianceFinance et gestionFiscalité et comptabilité Mis à jourseptembre 08, 2023Leveraging data to build, sustain, and grow an effective internal audit programPar :Sio NaidooData analytics provide assurance and insight. Learn more about the internal audit function and their role as trusted advisors.
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ArticleComplianceFinance et gestionFiscalité et comptabilité novembre 07, 2022How digital capabilities impact the balance of compliance and ITPar :TeamMateInternal audit teams broadly agree on their mission, but each internal audit department makes individual decisions about priorities.
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InfographieComplianceFinance et gestionFiscalité et comptabilité novembre 03, 2022Digital skills assessment matrixPar :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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ArticleComplianceFinance et gestionFiscalité et comptabilité Mis à jourseptembre 08, 2023TeamMate Audit Benchmark: Why internal audit needs to address third-party riskPar :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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ArticleComplianceFinance et gestionFiscalité et comptabilité Mis à jourseptembre 08, 2023Changing the internal audit functionPar :Jonathan ChapmanLearn about the 4 characteristics of internal audit functions successfully rely on to achieve continual and strategically aligned change.
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ArticleComplianceFinance et gestionFiscalité et comptabilité septembre 14, 2022What's trending in methodology change and how to make new rulesPar :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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ArticleComplianceFinance et gestionFiscalité et comptabilité Mis à jourseptembre 08, 2023Agile audit: A conversation about coaching, implementation, and tips for practical executionPar :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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ArticleComplianceFinance et gestionFiscalité et comptabilité Mis à jourseptembre 08, 2023Improving the quality of your audit with data analyticsPar :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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ArticleComplianceFinance et gestionFiscalité et comptabilité Mis à jourseptembre 08, 2023TeamMate Audit Benchmark: Responding to changePar :TeamMateTeamMate Audit Benchmark is an ongoing assessment of the trends in methodology and work practices of global internal audit teams.
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ArticleComplianceFinance et gestionFiscalité et comptabilité Mis à jourseptembre 08, 2023TeamMate Audit Benchmark: Responding to change for Financial ServicesPar :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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ArticleComplianceFinance et gestionFiscalité et comptabilité juin 02, 2022Agile audit delivery: Start with the "why" and focus on the "how"Par :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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ArticleComplianceFinance et gestionFiscalité et comptabilité mai 04, 2022Audit ambitiously: How to propel your internal audit team to new heightsPar :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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ArticleComplianceFinance et gestionFiscalité et comptabilité ESGfévrier 09, 2022Practical guide for implementing an agile audit sprint frameworkPar :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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ArticleESGComplianceMis à jourseptembre 08, 2023The role of internal audit in ESGPar :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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ArticleComplianceFinance et gestionFiscalité et comptabilité décembre 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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ArticleCompliancenovembre 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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ArticleComplianceFinance et gestionFiscalité et comptabilité octobre 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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ArticleComplianceMis à jourseptembre 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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ArticleComplianceFinance et gestionFiscalité et comptabilité août 18, 2021Key benefits of agile auditPar :Mark WilliamsBeing agile-minded requires you to rethink how internal audit teams perform their work and add value to stakeholders.
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ArticleCompliancemai 18, 2021Enabling constraints: Helping agile ways of working to stickPar :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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ReportCompliancemars 04, 2021The impact of advanced technologies on internal audit: Where should you start?Par :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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ArticleCompliancedécembre 03, 2020The future of ongoing risk evaluation in your organizationPar :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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ArticleCompliancenovembre 05, 2020Staffing for the future of internal auditPar :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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ArticleCompliancemars 13, 202010 steps to embedding analytics in control managementPar :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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ArticleCompliancedécembre 16, 2018Growth mindset as a key to audit team successPar :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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ArticleComplianceoctobre 09, 2018Auditing culture: A red flag approachPar :TeamMateIs auditing culture just another risk factor in a governance audit, or could it be seen as the basis for the entire audit plan?