Watch on-demand!

How a Regulator is Using Analytics for IT Audits


It’s becoming more common for internal and IT audit teams to work closely to identify and evaluate IT control deficiencies. Advancing technology and the use of data analytics makes it far easier and efficient to create an automated monitoring program for many manual processes—both in audit and IT audit. This automation reduces the time spent by both teams on time-consuming, repetitive tasks.

For the internal audit team at FINRA (Financial Industry Regulatory Authority), identifying and implementing the right tools coupled with a continuous commitment to maintaining momentum have been key to creating a successful data analytics program. In their journey to an automated internal audit program, they have optimized audit risk assessments and analysis, switched from sample-based testing to analysis of full data sets, isolated higher risk data points for detailed testing and analysis, and presented their results to management in visualization tools.

Join us for this 60-minute webinar, where you’ll hear from novice and advanced analytics users from FINRA. They’ll share their story and discuss how to:

  • Plan and implement actual steps to establish a strategic data analytics initiative
  • Apply analytics to expand the testing of IT controls in a complex infrastructure
  • Use analytics to gain insight into unstructured data
  • Make continuous improvements and gradually expand your data analytics initiative
Regina Jenkins - Vice President, Information Technology Audit at FINRA
Regina Jenkins is the Vice President and Information Technology (IT) Audit Director at FINRA. In this role, Regina coordinates the strategic IT audit plan and manages all aspects of IT audits, including cybersecurity, regulatory reviews, and a wide range of infrastructure audits in both the cloud and traditional data centers. Regina graduated with honors from Mississippi State University, with a Bachelor of Science in Computer Science. She received an MBA (concentration in Finance) from New York University’s Stern School of Business, and completed business studies at the London Business School, London, England.
Steve Caine - IS Audit Director at FINRA
Steve joined FINRA in March 2011. As a Director of IT Audits, Steve conducts IT audits and development reviews of high complexity or emerging areas of Technology, either working independently or as a member of an audit team. Duties include performing the planning, fieldwork, reporting, and follow-up phases of these audits. Steve came to FINRA with over 15 years of IT audit experience in the financial, utility, manufacturing and broker/dealer industries. Steve earned a Bachelor’s in Computer Information Science from the University of Florida, his CISA in 1993, and his Certified Information Systems Security Professional from ISC2 (CISSP) in 2011.

Gabriela Gomez Linder - IT Internal Auditor
Gabriela joined Internal Audit at FINRA in May 2015; she has over 13+ years of experience working with IT teams in multi-cultural international organizations, including the United Nations FAO, Peace Corps and other private sector companies and NGOs. She has an operations background of leading and managing IT System Life Cycles development and deployment and program management. She has a focus on infrastructure, enterprise security, risk management, and disaster recovery. Gabriela has a CISA and CISSP certification.
Basimah Syed - Product Manager at Galvanize
Basimah Syed is a Product Manager at ACL. She is a seasoned product expert with a passion for bridging customers’ needs with technology solutions. At ACL, Basimah focuses on championing solutions for audit and financial institution customers, primarily banks and credit unions. Her passion for innovative technologies that solve for customers’ challenges drives her to contribute to the development of new features, market intelligence and product strategy

View the webinar