June 2026

internalauditcollective.com · Curated 1 month ago

Consistently Managing IT Change Controls for Internal Audit

This article emphasizes the critical importance of robust IT change management controls for maintaining system stability, security, and compliance. It outlines the different types of change management, the characteristics of a mature change process, and specific risks associated with system administrators and major system implementations. The guide provides practical insights for internal auditors, SOX professionals, and IT/security teams to prevent outages, security gaps, and audit findings.

News & Blogs · Global Read more

linkedin.com · Curated 1 month ago

CIA vs. CISA: Why the Debate is Outdated in Modern Auditing

This article argues that the traditional distinction between CIA and CISA certifications is obsolete, as all auditing now inherently involves technology. The author emphasizes that both certifications address different layers of the same digital ecosystem, and auditors must understand systems to remain relevant. The piece challenges the notion of 'pure audit' in an increasingly digitized business world.

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radicalcompliance.com · Jun 10, 2026

SEC Intensifies Scrutiny on Investment Adviser Disclosure Failures and Ineffective Compliance Programs

The SEC is sending a clear message to registered investment advisers (RIAs) regarding the critical importance of robust conflict-of-interest disclosures and effective compliance program implementation. Recent enforcement actions and risk alerts highlight that merely having policies is insufficient; firms must actively enforce them, especially concerning personal trading and undisclosed financial interests, to avoid significant penalties and reputational damage. Internal audit and assurance professionals should view this as a call to action to review and strengthen their organizations' disclosure controls and compliance frameworks.

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linkedin.com · Curated 1 month ago

What It Takes to Trust an AI Risk Score: Key Lessons for Audit-Ready AI

As regulatory deadlines like OSFI E-23 approach, organizations must be prepared to defend AI-influenced decisions. This article highlights three critical factors for trusting AI risk scores: reproducibility, the inability to pin hosted models, and the potential for AI to disregard structured input in favor of free-text. Internal audit and assurance professionals should demand clear answers on these points to ensure AI tools are truly audit-ready.

News & Blogs · North America Read more

tobyderoche.substack.com · Jun 10, 2026

US Shifts AI Stance: National Security Directives Elevate AI Governance to Critical Operational Infrastructure

Recent White House actions signal a significant shift in the US government's approach to AI, moving from caution to accelerated adoption, particularly within national security. This reclassification of AI as operational infrastructure, rather than a future technology, profoundly impacts internal audit and assurance professionals. Organizations must now consider AI not just for its potential, but for its secure, reliable, and accountable integration into critical processes, demanding a more robust and integrated governance framework.

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radicalcompliance.com · Jun 1, 2026 · Curated 1 month ago

Avoiding Critical Pitfalls in Internal Investigations: A Guide for Audit and Assurance Professionals

Internal audit and assurance professionals frequently lead or contribute to internal investigations. This article highlights common and critical mistakes, emphasizing the importance of building trust, maintaining process integrity, and carefully considering disciplinary actions. It also offers a nuanced perspective on the role of AI in investigations, providing valuable insights for enhancing the effectiveness and fairness of your investigative processes.

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radicalcompliance.com · May 29, 2026 · Curated 1 month ago

Compliance Jobs Report: Key Appointments and Promotions Across Industries

This week's Compliance Jobs Report highlights significant personnel movements in the compliance and risk management sectors. Audit and assurance professionals should note the continued demand for specialized compliance expertise, particularly in financial services, technology, and global trade. The report underscores the dynamic nature of compliance roles, with new appointments in AI units, promotions within established institutions, and ongoing recruitment for critical positions, reflecting evolving regulatory landscapes and corporate governance priorities.

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radicalcompliance.com · May 28, 2026 · Curated 1 month ago

Navigating the Challenging Compliance Job Market: Economic Headwinds, AI, and the Rise of Internal Referrals

The compliance job market is currently experiencing a significant slowdown, driven by a confluence of economic uncertainty, political instability, and the disruptive potential of artificial intelligence. Audit and assurance professionals should be aware of these trends as they impact talent acquisition, retention, and the evolving skill sets required for compliance roles. Understanding these dynamics is crucial for strategic workforce planning and career development within the assurance landscape.

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radicalcompliance.com · May 26, 2026 · Curated 1 month ago

Foot Locker Fined for 'Pretaliation' Clauses in Severance Agreements

Foot Locker has been fined $148,000 by the SEC for including "pretaliation" language in severance agreements, which attempted to waive employees' rights to whistleblower awards. This case serves as a critical reminder for internal audit and assurance professionals to scrutinize all employment-related agreements for clauses that could impede whistleblowing, ensuring compliance with Dodd-Frank and SEC regulations, even if such clauses were never enforced.

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radicalcompliance.com · May 24, 2026 · Curated 1 month ago

New York DFS Issues Critical Guidance on Cybersecurity and AI Risks for Financial Firms

The New York Department of Financial Services (DFS) has released two open letters providing crucial guidance on managing cybersecurity risks, particularly in a "heightened threat environment" and concerning advanced AI models. While not formal rule changes, these recommendations are essential for internal auditors and assurance professionals across all industries to understand, as they highlight evolving regulatory expectations and best practices for robust risk management and resilience against sophisticated cyber threats.

News & Blogs · North America Read more