2019 IIA Financial Services Exchange

2019 IIA Financial Services Exchange
Next-Generation Internal Audit


Key Themes From the 2019 IIA Financial Services Exchange

Washington, DC

Protiviti was proud to sponsor and speak at this years Institute of Internal Auditors (IIA) Financial Services Exchange Conference on September 16-17 in Washington, D.C Listen to our Protiviti podcasts by Managing Director Kevin Leicht, titled The IIA FS Exchange Conference, Day One Recap, and Managing Director Erika Ray, titled The IIA FS Exchange Conference, Continued, discussing the key themes and major takeaways from this year’s conference.

The Digital Era Continues to Bring Wave After Wave of Disruptive Change

Even companies that embrace the change can feel like they’re caught in powerful currents, unable to control their vessel properly or orient themselves in the right direction. They are under pressure not only to adapt to change, but also to invite it through transformation and drive it through innovation.

For companies that are working to become next-generation businesses, the churn of change must run deep inside their organization and into their key functions and must be more than just a digital or transformation veneer. This includes internal audit. Meeting the expectation to transform, innovate and become more future-focused is not easy for a function that has long been tasked with looking backward, confirming that controls are in place and working and, if they’re not, assessing why and outlining a plan for remediation.

This means rethinking how internal audit teams perform their work. How can they adopt more agile practices and engage the business earlier in the audit process? How can they become more data- and technology-enabled to deliver on their objective to provide effective risk management more efficiently, and even predictively, to the greatest extent possible? How can they shift from being a risk- and change-averse function to becoming a center for innovation in the company, helping the business itself to transform? Answering those questions requires balancing new internal audit models with the right technology, resources and methodologies, as well as governance and infrastructure, to create value.


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Protiviti Insights​

The Next Generation of Internal Audit – Catch the Wave
The new edition of Internal Auditing Around the World asks how internal audit teams can adopt more agile practices, engage the business earlier in the audit process and become more data-and technology-enabled to provide effective risk management more efficiently and even predictively. Sixteen organizations were interviewed and their experiences in dealing with these questions are presented as case studies in the book.
The organizations profiled in the latest edition represent a cross-section of countries and industries and include Accenture, Anixter, Brinks Home Security, Capital One, Country Road, Deutsche Telekom, DriveTime, Fidelity, Jardine, NTT, Occidental Petroleum, Synchrony and Zain Group, among others.

The Road to Resiliency
Building a Robust Audit Plan for Operational Resilience 
This whitepaper outlines leading practices to provide a comprehensive assurance over operational resilience programs, explains key resiliency concepts, and identifies critical questions every chief audit executive should ask concerning resilience assurance.

The Next Generation of Internal Auditing – Are You Ready?
This paper discusses the change driven by advances in technology and the use of data, as well as the broader economy in which knowledge, entrepreneurship, innovation, technology and collaboration are fueling growth. Internal audit not only must respond to these changes but also be prepared to assess if the business is undertaking its innovation and transformation initiatives in the best possible manner.

Operational Resilience
Protiviti’s Operational Resilience Brochure details our framework developed by financial services industry subject matter experts with which firms can approach and evaluate operational resilience. This framework provides a structure that can be leveraged to help understand, prevent, and recover from extreme-but-plausible events that may impact critical business services provided by the organization.

CAE Agenda
View the latest edition of Protiviti’s CAE Agenda here, your monthly roundup of internal audit news and developments for financial services organizations.


Brian Christensen
EVP, Global Internal Audit
[email protected]
Michael Brauneis
US Financial Services Industry Leader
[email protected]
Jonathan Wyatt
Global Head of Protiviti Digital
[email protected]
Michael Thor
US Internal Audit & Financial Advisory for Financial Services Leader
+1 312.510.4685
[email protected]
Andrew Struthers-Kennedy
IT Audit Practice Leader
[email protected]
Barbi Goldstein
Managing Director
+1 212.603.8351
[email protected]
Scott Jones
Managing Director
[email protected]


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