This session examines internal audit’s responsibilities in evaluating fraud, AML, and sanctions programs amid heightened regulatory scrutiny and rapidly evolving typologies. Participants will explore advanced, risk-based testing approaches and gain insight into common control gaps across the financial services industry.
Learning Objectives:
Participants will be able to:
• Evaluate the effectiveness of financial crime risk management frameworks, including AML, sanctions, and fraud controls.
• Identify common red flags, data indicators, and control breakdowns within financial crime prevention programs.
• Apply risk-based audit methodologies to assess governance, monitoring, and investigative processes.
Speakers:
Jenny Amon, Senior Manager, EY
Willard Hart, Managing Director, Fraud Risk Management, EY
Alex Treuber, Senior Manager, EY