Control Testing Roundtable
List Price
$9,999
Member Price
$1,250
Event Id:
699814390
Product code:
020491-25
Format:
Roundtable: In-Person
Date:
9/16/2025 - 9/17/2025
Registration Fees
| Members | $1,250 |
|---|---|
| Nonmembers | $9,999 |
Members qualify for savings.
Log in to see if you qualify for a lower rate, or become a member to save as much as $8,749 or more.
Item Details
Site Information:
Charles Schwab & Co. Inc.
9899 Schwab Way
Lone Tree, CO 80124
Event Dates & Times: September 16, 2025 12:00PM - 4:30PM Dinner 6:00PM-8:00PM MT; September 17, 2025 7:30AM - 12:00PM
Control testing is a crucial practice for ensuring proper design and operating effectiveness of controls throughout an organization. Having an established control testing function enables optimization of resource allocation, regular use of SME’s, expanded test coverage, and manage risks while reducing redundancy and maximizing impact. This peer-sharing meeting provides a valuable platform for attendees to exchange best practices, collaborate on effective strategies, and streamline efforts to achieve comprehensive testing coverage with an efficient use of resources. By prioritizing key areas and leveraging technology, standardization, and risk-based approaches, risk management functions can significantly improve the effectiveness of their testing processes.
To level set the discussions, we will conduct a short survey prior to the meeting.
Draft Agenda
1. Regulatory landscape and expectations
2. How is 1st and 2nd LOD testing is organizationally structured
3. Testing Governance (including adherence monitoring)
4. Current testing coverage (Cycle based, RCSA control coverage and frequency, connection to risk assessments, convergence of testing programs)
5. Monitoring vs. Testing
6. Tools leveraged – workpaper tools, templates, Artificial Intelligence
7. Reporting practices by project, quarter, exec summaries, board reporting and any external reporting such as regulators
8. Aligned Assurance/Reliance across 1st and 2nd LOD testing activities
9. Collaboration or interaction with IAD
Who Will Benefit?
Professionals from First and Second Line of Defense whose responsibilities including testing from Financial institutions with assets size $60B and up (e.g. Chief Control Officer).