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What are the Common Weaknesses Found in Internal Audit Assessments?

Stout Causey Consulting

Stout Causey Consulting
Bob Burkett, Senior Manager

Runtime: 02:31

Key Takeaways:

Common Weaknesses found in Internal Audit Assessments:

  1. No Customer Service Charter: Charter defines roles & responsibilities of senior mgmt, Audit Committee & internal audit dept as well as communication protocols.
  2. Risk Assessments not tied to the Audit Plan: Risk process must address Financial, Operational, Regulatory and IT risk and be tied to the Audit Plan.
  3. Ignoring a part of the risk universe: All risk elements must be assessed and addressed.

Location assistance for this interview provided by The Institute for Financial Excellence.

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