CAE Roundtable: From AI Hype to Audit Assurance: Governing Risk, Fraud, and Ethics in the AI-Enabled Enterprise
Attendees can earn up to 3 NASBA-qualified CPE credits with full attendance
Date: Tuesday, November 3, 2026
Time: 8:30AM – 11:30AM (optional lunch & networking immediately following training from 11:30 AM-1:00 PM/ please R.S.V.P. in registration for lunch)
Location: Baker Tilly, 311 N. Green St., 2nd Floor, Chicago, IL 60607
Artificial intelligence is no longer a future-state issue. It is reshaping business processes, risk profiles, third-party relationships, fraud schemes, data governance, cybersecurity, and board oversight. For Chief Audit Executives, the mandate is increasingly clear: Internal Audit must understand AI well enough to ask the right questions, assess enterprise exposure, advise on governance, and provide meaningful assurance.
This executive-level session and hands on workshop will provide a practical roadmap for CAEs as they help their organizations move from AI experimentation to responsible AI governance and assurance. Participants will explore the AI risk landscape, leading governance frameworks, enterprise AI risk assessment methods, efficient control strategies, AI-enabled fraud risks, and the future of the internal audit function. The session will emphasize practical tools, board-ready questions, and CAE-level actions that can be applied across industries and organizational maturity levels.
The session will also feature an interactive panel discussion, giving CAEs an opportunity to engage directly with the speakers on the AI governance, enterprise risk, and assurance issues most relevant to their organizations. Attendees are encouraged to submit questions in advance via online registration to help shape the discussion and ensure the panel addresses the topics and challenges that matter most to participating CAEs.
Throughout the session, participants will work through practical tools, board-ready questions, and real-world scenarios designed to help CAEs translate emerging AI risks into actionable governance and assurance priorities – regardless of their organization's industry or current level of AI maturity.
Learning Objectives:
By the end of the session, participants will be able to:
- Explain the AI risk landscape in board-relevant terms and identify how AI affects governance, strategy, operations, fraud, cybersecurity, and reputation.
- Apply a practical AI governance and risk assessment approach that CAEs can use to evaluate AI use cases, assess organizational readiness and control maturity, identify governance and assurance gaps, and inform risk-based audit planning.
- Define internal audit's role in the AI-enabled enterprise, including how to strengthen board and Audit Committee confidence, advise management while preserving independence, provide assurance over AI governance and controls, address emerging fraud and ethical risks, and prepare the internal audit function for an AI-enabled future.
There is limited seating for this event and registration will be granted on a first come first served basis. If you are at least 10 years into your career and are an Audit Leader (CAE, VP, Director), join us by registering today!
We look forward to seeing you on November 3rd!
Recommended Field of Study:
Instructional Delivery: Group Live
Prerequisites: None
Program Level Knowledge: Basic
Advanced Preparation: None
About the Speakers:
Andrés Castillo: Andrés Castillo is a Director within Baker Tilly’s Risk Advisory practice with more than 12 years of experience helping organizations navigate technology risk, internal controls, cybersecurity, and IT governance. He advises clients on assessing and strengthening technology control environments, with experience spanning IT audit, IT risk assessments, cybersecurity, IT SOX, and governance. As organizations increasingly adopt artificial intelligence and other emerging technologies, Andrés brings a technology risk perspective to evaluating how new capabilities affect existing control environments, governance responsibilities, and assurance activities.
Norris James: Norris James is a Senior Manager in Baker Tilly’s Risk Advisory practice, with more than 20+ years of experience advising boards of directors, CEOs, and executive leadership teams on enterprise risk management, governance effectiveness, strategic oversight, and organizational resilience. Through leadership roles at Baker Tilly, EY, Accenture, BP, and ExxonMobil, he has guided Fortune 500 companies and global organizations in navigating complex risks, strengthening governance, and enhancing enterprise value through risk-informed decision-making. Norris is recognized for helping leaders and boards proactively address emerging risks, align oversight with strategy, and build resilient organizations positioned for sustainable growth.
Nathan Olson: Nathan Olson is a Senior Manager within Baker Tilly's Digital Solutions practice, where he helps organizations build the data governance and data strategy foundations that responsible AI adoption depends on. He works with clients across industries, including financial services, insurance, and manufacturing, to establish data quality, stewardship, and governance frameworks, often in the context of ERP modernization and enterprise data transformation. Nathan partners closely with IT, operations, and business leadership to move data governance from a back-office technical exercise to a practical, organization-wide discipline, helping executives and boards gain the confidence in their data that's needed to scale AI safely and effectively.
John Rogula: John Rogula is a Principal with Baker Tilly’s Risk Advisory practice with more than 20 years of experience in enterprise risk management (ERM), program management and strategic execution. He works with executive leadership to design, implement and enhance practical risk management programs that align with business objectives and strengthen decision-making. His experience includes developing enterprise risk and issue management strategies, risk appetite statements and leading indicators; integrating risk management into strategic planning; and implementing supporting processes, systems and infrastructure. John has built ERM capabilities spanning more than 30 strategic business units and brings a hands-on approach to managing complex initiatives, streamlining processes and improving organizational effectiveness across sectors including not-for-profit, higher education, healthcare and life sciences, industrial manufacturing, energy, consumer and food products, and retail.
Himanshu Sharma: Himanshu Sharma is a Director within Baker Tilly's Risk Advisory practice. He advises clients in the financial services and technology sectors on IT risk and cybersecurity matters. He supports organizations across a broad range of services, including SOC reporting, IT / Cybersecurity risk assessments and related audits, internal audit co‑sourcing, ERM, AI, and SOX compliance. His work frequently focuses on helping management and boards understand and respond to evolving technology and cybersecurity risks.
Mumta Taneja: Mumta Taneja is a Director within Baker Tilly’s Risk Advisory practice with more than 20 years of experience helping organizations strengthen internal audit, risk management, internal controls and SOX compliance programs. She leads large co-sourced and outsourced internal audit engagements, risk assessments, and SOX compliance and internal control initiatives, working closely with executive leadership and audit committees to translate evolving risks into practical assurance priorities. Mumta brings experience leveraging AI and data analytics to enhance audit procedures, while helping internal audit leaders navigate the broader implications of AI for governance, risk assessment, controls, and the future of the internal audit function.
Cancellation Policy
NOTICE of Cancellation/ Refund Policy: Due to costs incurred for seminars, cancellations for will only be accepted if notice of cancellation is received by the IIA Chicago’s Registrar via e-mail or phone by 12:00 pm (Noon) on October 30, 2026. The IIA e-mail is registrar@iiachicago.com and phone number is (773) 319-4149. Paid registrations cancelled by the deadline will be refunded and outstanding payment registrations will be closed. Paid and outstanding payment registration will not be refunded or closed after the deadline. Please be aware of this policy when arranging plans to attend seminars. We look forward to meeting your educational needs. For more information regarding refund, complaints, and/or program cancellation policies, please contact Rachel Means at registrar@iiachicago.com
National Registry Statement: The IIA Chicago Chapter is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.NASBARegistry.org.