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Audit & Risk Management Working Group

The Audit & Risk Management Working Group focuses on key legal, regulatory, compliance and operational issues affecting the audit and risk management practices of investment advisers. The group is intended to serve as a forum for members to discuss industry trends, rules and operations-related issues from their risk and internal control perspectives.

Meeting Frequency:  Quarterly conference calls

See Other Committees Online Community

Working Group Chair

Jack Thomas
PNC Capital Advisors, LLC

IAA Staff Liaison

Monique Botkin
Associate General Counsel

We encourage all members to participate in our Committees, Working Groups, and Forums.

To join the Audit Directors Working Group or its online community on the IAA Exchange, please contact iaaservices@investmentadviser.org or call (202) 293-4222.

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