New Practice Guide: Foundations of Internal Auditing in Financial Services Firms


The demand for internal auditors with financial services knowledge and experience is growing rapidly, propelled by regulatory pressures to appropriately staff internal audit programs with the right volume and caliber of resources. This has led many internal audit activities within the highly regulated financial services industry to increase their staff in accordance with the new global operating environment and in terms of quality and quantity.

To prepare auditors for this challenging environment, The IIA sought expertise from global professionals to develop this new guide. Intended as a solid foundation in the field of financial services auditing, which includes the insurance sector, the guide helps bridge the gap that exists between the typical internal audit universe and that of the highly specialized world of financial services.

Topics include:

  • The regulatory landscape in financial services.
  • The risk landscape in financial services.
  • Key principles of sound governance.
  • Working with the first and second lines of defense.
  • Internal audit responsibilities.

Download Practice Guide: Foundations of Internal Auditing in Financial Services Firms

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