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IIA Financial Services Auditor Group Webinar Series

​Hot Topics in Compliance: Auditing Stress Testing and CCAR

June 12, 2014
2:00–3:00 p.m. ET

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Over the years, additional regulatory guidance has expanded requirements on organizations specifically targeted at model risk management, stress testing, and data strategy. As the environment continues to mature, it is critical that organizations strategically review their framework and develop a plan to evolve with these expectations. A well thought-out strategy can identify, align, and implement capabilities across these bodies of work that not only comply with regulatory requirements, but actually enable the business to function more efficiently.

Topics will include:

  • The importance of an effective stress testing framework.
  • Leading industry practices for stress testing and capital models.
  • Model risk governance.
  • Challenges of compliance: Top 10 issues for stress testing models.
  • The Role of Internal Audit:
    • Areas of coverage for CCAR audits:
      • Data Integrity and Data Controls
      • Governance over stress testing models
      • Governance over (non-model) financial forecasts
      • Risk coverage and risk management governance
      • Credit review assurance of risk data accuracy
      • Financial audit of total CCAR and PPNR reporting accuracy
      • Governance over capital adequacy
    • Leveraging results from other audits
Course Duration: 1 hour
CPE Hours Available: 1
Knowledge Level: Intermediate
Field of Study: Auditing
Prerequisites: None
Advance Preparation: None
Delivery Format: Internet Group Live


Shaheen Dil
Managing Director, Protiviti