Internal Audit
Kaufman Rossin’s professionals have extensive experience performing internal audits for businesses and financial institutions.
Internal auditors work with management and governance to understand strategic, operational, financial and compliance objectives so they can help identify risks that could impact those objectives and make recommendations for mitigating those risks. Our experts can provide independent, objective and tailored feedback on the effectiveness of your organization’s internal controls and whether or not you are operating in accordance with established policies, procedures and regulatory requirements.
Our services include:
- Fully outsourced or co-sourced internal audit
- External quality assessment review (QAR)
- SOC 1 reporting
- FDICIA consulting and testing
- Process mapping and documentation
- SOX 404 consulting and testing
- Third-party contract compliance
- Asset quality review
- Fraud management and investigations
- Risk management review and assessment
- Financial review
- Operational review
- Regulatory review
- Coverholder/TPA review
- Board effectiveness and corporate governance
Key Contacts
Chandrasekar Venkataraman
Principal, Corporate Governance Services; Managing Principal – India
As business models transform and become more disruptive, Chandra leverages more than 35 years of progressive corporate governance, risk advisory, compliance, financial management, and accounting experience to help clients address risk-related, financial management and regulatory challenges, maxim…
Glenn Davis
Principal Emeritus, Risk Advisory Services
Glenn Davis is a senior advisor to Kaufman Rossin and a director in the firm's risk advisory services department. He utilizes tested, state-of-the-art tools and methodologies to perform initial compliance readiness and gap analyses, reviews and tests of controls, and provides continuous monitori…
Ivan Garces, CPA
Principal- Chair Risk Advisory Services, Management
Ivan Garces is a senior advisory principal, Chair of Kaufman Rossin's Risk Advisory Services practice, and serves as the Firm's Chief Risk Officer and is a member of the Firm's Management Committee. He brings clients more than 25 years of public accounting experience, and provides, ri…
Luis Castillo, CIA
Director, Risk Advisory Services
Luis Castillo is a director at Kaufman Rossin in the Risk Advisory Services practice. He provides compliance and risk guidance to clients in the financial services industry.
Luis is an accomplished risk professional with a track record of leading high-functioning teams in the execution of i…
Heidy Duarte, CAMS, AMLCA, CFS, CFE, CPA
Principal, Risk Advisory Services
Heidy M. Duarte is a Principal in Kaufman Rossin’s Risk Advisory Services practice. With over 16 years in the Financial Services industry, she has extensive experience in forensic accounting, risk management, and regulatory compliance matters, helping clients identify and mitigate risks. Heidy is …
Chandrasekar Venkataraman
Principal, Corporate Governance Services; Managing Principal – India
As business models transform and become more disruptive, Chandra leverages more than 35 years of progressive corporate governance, risk advisory, compliance, financial management, and accounting experience to help clients address risk-related, financial management and regulatory challenges, maxim…
Glenn Davis
Principal Emeritus, Risk Advisory Services
Glenn Davis is a senior advisor to Kaufman Rossin and a director in the firm's risk advisory services department. He utilizes tested, state-of-the-art tools and methodologies to perform initial compliance readiness and gap analyses, reviews and tests of controls, and provides continuous monitori…
Ivan Garces, CPA
Principal- Chair Risk Advisory Services, Management
Ivan Garces is a senior advisory principal, Chair of Kaufman Rossin's Risk Advisory Services practice, and serves as the Firm's Chief Risk Officer and is a member of the Firm's Management Committee. He brings clients more than 25 years of public accounting experience, and provides, ri…
Luis Castillo, CIA
Director, Risk Advisory Services
Luis Castillo is a director at Kaufman Rossin in the Risk Advisory Services practice. He provides compliance and risk guidance to clients in the financial services industry.Luis is an accomplished risk professional with a track record of leading high-functioning teams in the execution of i…
Heidy Duarte, CAMS, AMLCA, CFS, CFE, CPA
Principal, Risk Advisory Services
Heidy M. Duarte is a Principal in Kaufman Rossin’s Risk Advisory Services practice. With over 16 years in the Financial Services industry, she has extensive experience in forensic accounting, risk management, and regulatory compliance matters, helping clients identify and mitigate risks. Heidy is …
Chandrasekar Venkataraman
Principal, Corporate Governance Services; Managing Principal – India
As business models transform and become more disruptive, Chandra leverages more than 35 years of progressive corporate governance, risk advisory, compliance, financial management, and accounting experience to help clients address risk-related, financial management and regulatory challenges, maxim…
Glenn Davis
Principal Emeritus, Risk Advisory Services
Glenn Davis is a senior advisor to Kaufman Rossin and a director in the firm's risk advisory services department. He utilizes tested, state-of-the-art tools and methodologies to perform initial compliance readiness and gap analyses, reviews and tests of controls, and provides continuous monitori…
Ivan Garces, CPA
Principal- Chair Risk Advisory Services, Management
Ivan Garces is a senior advisory principal, Chair of Kaufman Rossin's Risk Advisory Services practice, and serves as the Firm's Chief Risk Officer and is a member of the Firm's Management Committee. He brings clients more than 25 years of public accounting experience, and provides, ri…
Luis Castillo, CIA
Director, Risk Advisory Services
Luis Castillo is a director at Kaufman Rossin in the Risk Advisory Services practice. He provides compliance and risk guidance to clients in the financial services industry.Luis is an accomplished risk professional with a track record of leading high-functioning teams in the execution of i…
Heidy Duarte, CAMS, AMLCA, CFS, CFE, CPA
Principal, Risk Advisory Services
Heidy M. Duarte is a Principal in Kaufman Rossin’s Risk Advisory Services practice. With over 16 years in the Financial Services industry, she has extensive experience in forensic accounting, risk management, and regulatory compliance matters, helping clients identify and mitigate risks. Heidy is …
Chandrasekar Venkataraman
Principal, Corporate Governance Services; Managing Principal – India
As business models transform and become more disruptive, Chandra leverages more than 35 years of progressive corporate governance, risk advisory, compliance, financial management, and accounting experience to help clients address risk-related, financial management and regulatory challenges, maxim…
Glenn Davis
Principal Emeritus, Risk Advisory Services
Glenn Davis is a senior advisor to Kaufman Rossin and a director in the firm's risk advisory services department. He utilizes tested, state-of-the-art tools and methodologies to perform initial compliance readiness and gap analyses, reviews and tests of controls, and provides continuous monitori…
Ivan Garces, CPA
Principal- Chair Risk Advisory Services, Management
Ivan Garces is a senior advisory principal, Chair of Kaufman Rossin's Risk Advisory Services practice, and serves as the Firm's Chief Risk Officer and is a member of the Firm's Management Committee. He brings clients more than 25 years of public accounting experience, and provides, ri…
Luis Castillo, CIA
Director, Risk Advisory Services
Luis Castillo is a director at Kaufman Rossin in the Risk Advisory Services practice. He provides compliance and risk guidance to clients in the financial services industry.Luis is an accomplished risk professional with a track record of leading high-functioning teams in the execution of i…
Heidy Duarte, CAMS, AMLCA, CFS, CFE, CPA
Principal, Risk Advisory Services
Heidy M. Duarte is a Principal in Kaufman Rossin’s Risk Advisory Services practice. With over 16 years in the Financial Services industry, she has extensive experience in forensic accounting, risk management, and regulatory compliance matters, helping clients identify and mitigate risks. Heidy is …
