The survey results confirm that the world of internal audit continues to be complex and challenging, and the volume and diversity of issues is increasing across all industries. Download the report to:
Find out which internal audit responsibilities are proving most time-consuming, and how this compares with the areas that auditors believe should be the top priorities
Discover to what extent your peers are getting involved in assessing corporate governance and culture
Learn how closely the average internal auditor works with the risk and compliance functions to ensure good communication and cooperation with the second line of defense
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Conduct risk is the latest buzzword in the financial services, and for good reason – significant bank failures, large regulatory fines, and waning of consumer trust. If conduct risk is the risk to the delivery of fair customer outcomes – a definition from the UK’s Financial Conduct Authority – then it is clear that it touches every part of a governance, risk and compliance (GRC) framework. Conduct risk management integrates with GRC – whether it is ensuring compliance to new conduct risk rules, managing conflicts of interest, preventing market abuse, or building robust audit procedures around new product development processes. Download this OCEG illustration and the article “A Strategic Approach of Conduct Risk” to learn more.
Corporate governance is fundamental to effective risk and control within organizations, which means that whistle-blowing policies must be at the heart of internal auditors' responsibilities. This whitepaper outlines how internal auditors can prepare for the rising tide of whistle-blowing and review both their direct and indirect involvement in whistle-blowing procedures.
The internal audit risk assessment presents an often missed opportunity for auditors to understand their organization’s evolving objectives and implement a more dynamic risk-based approach. Read this whitepaper to learn about reviewing standard internal audit procedures, identifying audit risk assessment red flags, how to turn risk assessment principles into positive actions.
This whitepaper examines how the passage of the Sarbanes-Oxley Act and related internal controls regulations shifted the focus of the audit department onto financial controls. Explore what is driving a return to a more value-driven approach to internal audit that connects with the business’s operational planning and strategic objective-setting.