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Audit Committee Guide for Financial Institutions

A roadmap for oversight in an unprecedented regulatory environment


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5 evolving risks the audit committee should monitor in 2015

In 2014, financial institutions continued to navigate economic uncertainty and a complex web of regulatory requirements. This operating environment can be particularly hard on corporate audit committees, who are under significant pressure to keep pace with laws and guidelines affecting financial oversight.


As a leading advisor to financial institutions for more than 85 years, RSM offers deep insight into the ramifications of today's fast-changing regulatory shifts. Our new Audit Committee Guide for Financial Institutions offers practical guidance on the committee's full range of responsibilities, including:

  • Financial reporting process
  • Control environment
  • Risk assessment, including fraud risk
  • External audit
  • Internal audit
  • Regulatory and compliance issues
  • Conflicts of interest

A new addition to this year's guide is an "evolving risks" supplement. In this report, Five evolving risks the audit committee should monitor in 2015, RSM financial institution leadership professionals take a closer look at cybersecurity, BSA/AML, compliance, model governance and vendor management challenges, along with the steps financial institution executives, audit committee members, and board members should address now. The guide and supplement will give your audit committee the solid foundation it needs to improve oversight in a high-stakes regulatory environment.





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