Internal Auditors in Financial Services

Group founded 23 Oct 2007
Posts 11
Members 3
Group summary

This community aims to provide related links, resources and news references, and to develop a forum for internal auditors to exchange views on various related items.

More blogs
See all Blogs »
Shailendra Malik

Idea of Audit in AI age

Audit has always been a support function for banks that has served as the last line of defence for keeping the organisation safe from external attacks and provide assurance to business & stakehold...

09 Aug 2018
Freddie McMahon

It is time for the Digital Transformation of Corporate Governance?

Within traditional Financial Services there is a common belief that regulation has fundamentally constrained the industry, but at the same time innovation through FinTech has blossomed. The Regulators...

23 Jun 2018
Retired Member

How process mining can turbo-charge internal auditing

For years, auditors have used interviews and workshops to conduct successful company assessments. As more businesses become digitised, auditors need to blend traditional techniques with a more data-le...

16 May 2018
Freddie McMahon

GDPR CUSTOMER CONSENT TERMS AND CONDITIONS IN CONTENT FORM ARE NO LONGER FIT FOR PURPOSE

GDPR CUSTOMER CONSENT: TERMS AND CONDITIONS IN CONTENT FORM ARE NO LONGER FIT FOR PURPOSE - NOW IS THE TIME FOR CHATBOT DIALOGUE Consent is to give permission for something to happen. Consent...

06 Oct 2017
Retired Member

NFC to POS -- Check and mate: The end game for key loggers

I am not at all surprised at this. It is sub judice even to discuss what the investigation will reveal; yet I will risk my last cent if it is not an ‘inside job’ with the connivance of the POS folks....

20 Aug 2012
Retired Member

The Case for QARP

A curious client recently asked – “Couldn’t financial modeling risk be diminished by introducing a Quality Assurance Review Panel (“QARP”)?” It was a simple, pragmatic question that left me momentari...

09 Aug 2011
Retired Member

Employee Fraud: The bad old story

This is what I read on employee fraud by the Financial Services Authority “one of the most serious threats”; an employee knows the inside story of process weaknesses and is often with collusion with a...

28 May 2011
Retired Member

PwC releases Internal Audit 2012

PwC released this study a few months ago titled "Internal Audit 2012* - A study examining the future of internal auditing and the potential decline of a controls-centric approach" Five key t...

01 Nov 2007
Retired Member

Global Technology Audit Guides

The IIA (Institute of Internal Auditors) have produced a series of publications with guidance on IT, considering CAE (chief internal audit executive) and audit supervisors/managers as the intended aud...

23 Oct 2007