Technology Governance, Risk and Compliance: Preparing for Audits, Exams and Assessments

  • Room: CC 318-320
Tuesday,June 07, 2022:3:00 PM -4:00 PM
/ CEU Credits:1


Russ Sommers
Senior Manager, Financial Services
Baker Tilly


It should come as no surprise to individuals in the insurance industry that it is one of the most highly regulated, most scrutinized industries in the United States. Considering the insurance industries reliance on technology, coupled with the expectations of insurance company stakeholders including policyholders, owners/investors, state departments of insurance, as well as, internal stakeholders including legal, compliance, executive management and those charged with governance, there are a lot of eyes affixed on insurance company information technology and cybersecurity programs, policies and controls. This session will focus on the types of information technology audits, examinations and assessments that many insurance companies undergo regularly. Participants will gain an understanding of stakeholder expectations across the entity, the audits/exams/assessments that provide stakeholder insight, the interrelation and potential overlap among them, and finally some tips and tricks to help prepare for them.


Exporter Choices

1. Learning Objective 1:
Recognize types of information technology audits, examinations and assessments an insurance company may undergo and their purpose

2. Learning Objective 2:
Identify the unique focus areas, and the potential overlap between each

3. Learning Objective 3:
Identify some potential resources to help prepare and make the audit/exam/assessment process as smooth and low impact as possible

4. Target Audience:

Please select your session type::
Panel Presentation - moderated discussion by no more than three panel members and one moderator

  • Basic

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