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Key Risk Themes for Internal Audit in 2017

Audit experts from CEB present the findings of the company’s annual Audit Plan Hot Spots report, which is based on interviews and surveys with more than 150 Chief Audit Executives. This article outlines the major risks CAEs plan to track closely this year – both expected risks and new and surprising themes.

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Management’s Annual Report on ICFR

Many public companies are in the process of preparing their annual 10-K reports for the SEC, and for these firms, it’s critical that management have a full understanding of the disclosure requirements. Ron Kral addresses several of the key challenges and questions organizations may have in conducting an effective ICFR evaluation.

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2017 Audit Committee Agenda Considerations, Part 2

Financial Reporting Issues Last month, Jim DeLoach shared four enterprise, process and technology risk issues for audit committees to consider this year. This month’s column focuses on financial reporting – the heart of the audit committee’s agenda. Read on for six additional issues every audit committee should be discussing.  By: Jim Deloach In last month’s column, we suggested four enterprise, process and technology risk issues for audit committees to consider in 2017. Understand the business, technology and other risks that...

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Staying Audit-Ready as Regulators Make Compliance a Top Priority

How to Demonstrate a Commitment to Compliance Regulatory authorities for the financial industry will be focused on companies' risk management and compliance programs this year and for the foreseeable future. That's reason enough to make risk management and compliance a priority. By: Guy Talarico We’re only a few weeks into the year, and some of us have already broken resolutions we intended to keep. For compliance officers, there’s still time to assess and resolve to address shortcomings in their compliance...

Talent shortage a real risk to internal audit

How to Fix the Internal Audit Talent Gap

Only 13 percent of Chief Audit Executives (CAEs) believe their firm performs “very well” when sourcing and managing internal audit talent, according to a recent survey by PwC. Using data collected from 1,600+ CAEs, PwC Partner Jason Pett recommends four strategies to help bridge the internal audit talent gap.

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Focus Points for 2017

New year, new plan. January is the perfect time to reflect on successes and shortcomings from the previous year and to make a plan for improvement. Candela Solutions’ Ron Kral has compiled a top 10 list of tips leaders can use to set their organizations up for success.

The Quest for Internal Audit Talent as Stakeholders Expect More

The Quest for Internal Audit Talent as Stakeholders Expect More

This report delves into four key elements to building an effective internal audit talent strategy, which includes talent acquisition, mentoring & development, strategic sourcing and performance management. PwC has just published a new paper on the growing talent gaps in the risk management industry -- namely in the internal audit profession -- and what companies can do to bridge the divide. According to another recent PwC study, only 13 percent of Chief Audit Executives (CAEs) believe their teams are very...

It’s time for a new approach to internal audit

The Opportunity for a New Breed of Entrepreneurial Auditor

In this article, Dan Zitting, Chief Product Officer at ACL, gives an in-depth analysis of the future of the traditional auditor, offers tips for innovation and progress in the industry, gives transformation examples from the field and explains a three-fold mandate for innovation and forward progress in the audit, risk and compliance professions.

The Obsolescence of the Traditional Internal Auditor

The Obsolescence of the Traditional Internal Auditor

As advances in data management and analytics make organizational data more accessible, internal audit must evolve or be rendered irrelevant. In this article, Dan Zitting, a globally recognized leader in data analysis, will illustrate this shift — what it means for internal audit leaders and how to embrace the change through people, process and technology to make internal audit a trusted and sought-after advisor in today's data-centric business environment.

The quality of an audit corresponds directly to its value

Ensuring a High-Quality Audit – Who is Responsible?

The SEC has recently brought cases against national audit firms for audit failures – the first since 2009. This development signals a shift among regulatory agencies to hold financial gatekeepers more accountable. Candela Solutions’ Ron Kral offers five tips to help firms achieve maximal value from the external audit process.

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