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INTERNAL AUDIT PROCEDURES HANDBOOK

Internal Audit Procedures Handbook has the sample procedures, documents, and
checklists for financial institutions for an effective audit control program.
by Gary M. Deutsch (Author)
Publisher: LexisNexis Sheshunoff




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PRODUCT DESCRIPTION

View a sample of this title using the ReadNow feature

Internal Audit Procedures Handbook is designed to make it easy for you to
develop, maintain, and improve your institution's internal control procedures.

Key topics discussed in this internal audit procedures manual include:
•  Start-Up: Preparation is the key to a successful implementation. You'll learn
how to sell the benefits of an effective auditing program to your employees,
management, and directors.
•  Staffing Guidelines: Internal auditing requires a strong banking background,
as well as knowledge of operations and finance. We'll show you how to find the
right people for your department, and how to assign duties to ensure that the
audit is properly executed.
•  Checklists: You'll find easy-to-follow internal audit checklists for eight
primary areas subject to audit.
•  Sample Documents: Documents, such as planning memos, charters, and
questionnaires.
•  Procedures: Detailed internal audit procedures for most areas of the bank are
included.

Major audit-engagement areas covered in Part II include:
•  Financial Management and Reporting
•  Funds
•  ALM
•  Loans
•  Deposits
•  Operations
•  Technology
•  Branches
•  Insurance and Legal Matters, including litigation

Part III contains Compliance Audits.

Chapters I-6, I-7, II-6B, and II-3A reprint material that appears in IT Auditing
for Financial Institutions and Risk-Based Auditing for Financial Institutions,
also by Gary Deutsch.

Subscribers will receive a downloadable file containing editable forms.

Editable Documents

The publication subscription includes downloadable files delivered through the
LexisNexis® Store download center. The downloadable files include the following
features:

•  The entire publication is provided in a Folio infobase, offering a robust
search engine and the ability to jump from one search match to the next through
the entire publication. The Table of Contents for the entire publication can be
viewed side-by-side with the text.

•  Editable Microsoft® Word files are included in the Folio infobase and can be
downloaded and customized. The Word files are fully Formatted and will be
updated to reflect changes made in corresponding text sections of the
publication. Word files are provided for a variety of documents, including
exhibits, Checklists, sample policies, sample Procedures, sample audits,
Questionnaires, and model Forms.

This publication includes editable Word files for the following documents:

No.            Title
I-1.1           Sample Internal Audit Policy
I-1-2           Sample Code of Ethics
I-1.3           Internal Audit Terms
I-2.1           Sample Risk-Based Audit Modifications to Procedures
I-2.4           Sample Executive Endorsement Letter of the Internal Auditing
Charter
I-3.1           Audit Planning Tools
I-3.2           Information Technology Audit Checklist
I-4.1           Sample Internal Auditor Training Program
I-4.2           Sample Performance Appraisal Form
I-6.1           Human Resources Strategic Planning Checklist
I-6.2           Checklist for the Review of Director Duties and Responsibilities
I-6.3           Checklists of Internal Control Considerations for Derivatives
Activities
I-6.4           Outside Vendor Internal and External Risk Review
I-6.5           GLBA Information Security Risk Assessment
I-6.6           Credit Management Controls Checklist
I-6.7           Interest Rate Risk Internal Control Checklist
I-6.8           Sample Compliance Risk-Assessment Matrix
I-6.9           UDAAP Risk Assessment Program
I-7.1           Information Technology Audit Checklist
I-7.2           Sample Audit Committee Charter
I-7.3           Sample Internal Audit Charter
I-7.4           Risk Management Action Plan Worksheet
I-7.5           Outsourcing Responsibilities Checklist
I-7.6           Sample Audit-Planning Questionnaire
I-7.7           Sample Memos
I-7.8           Sample Audit Plan Template
I-7.9           Time Report Worksheet
I-7.10         Pre-Audit Self-Assessment Questionnaire
I-7.11         Sample Charter for an Audit Committee Authority
I-7.12         Questions to Be Considered in Evaluating an Internal Control
Structure within a Financial Institution
I-7.13         Checklist for Internal Controls
II-1.1          CEO Internal Control Questionnaire
II-3.1          Investment Securities Internal Control Questionnaire
II.4.1          Concentration of Credits Internal Control Questionnaire
II-4.2          Merchant Processing Internal Control Sample Questionnaire
II-4.3          Sample Other Real Estate (ORE) Policy and Procedures
II-5.1          Account Procedures Questionnaire
II-5.2          Account Reconciliations Internal Control Questionnaire
II-5.3          Overdrafts Internal Control Questionnaire
II-5.4          Dormant Accounts Internal Control Questionnaire
II-5.5          Check Fraud Control Internal Control Questionnaire
II-5.6          Payment Systems and Funds Transfer Activities Internal Control
Questionnaire
II-5.7          Delaware Certificate of Formation of a Limited Liability Company
II-5.8          Identity Verification Resources
II-6.1          Sample Audit and Examination Response Procedure
II-6.2          Sample IT Audit Procedures
II-6.3          MIS Internal Control Questionnaire
II-7.1          Retail Nondeposit Investment Sales Internal Control
Questionnaire
II-8.1          Internal Control Questionnaire: Risk Management and Insurance
III-4.1         Closed-End Credit Advertising Worksheet
IIIl-4.2        Open-End/Home Equity Line of Credit Advertising Worksheet
III-4.3         Closed-End Credit Forms Review Worksheet
III-4.4         Closed-End Credit – Adjustable-Rate Mortgage Forms Review
Worksheet
III-4.5         Closed-End Credit File Review Worksheet
III-4.6         Closed-End Credit – Adjustable-Rate Mortgage File Review
Worksheet
III-4.7         Right of Rescission File Review Worksheet
III-4.8         Open-End Credit Forms Review Worksheet
III-4.9         Home Equity Line of Credit Forms Review Worksheet
III-4.10       Credit Card Forms Review Worksheet
III-4.11       Open-End Credit File Review Worksheet
III-4.12       Home Equity Line of Credit File Review
III-4.13       Special Rules for Certain Home Mortgage Transactions (High Cost
and Reverse Mortgage) File Review Worksheet
III-4.14       Periodic Billing Statements Worksheet
III-4.15       High-Cost Mortgages Worksheet
III-4.16       Homeowners Protection Act Checklist
III-4.17       Real Estate Settlement Procedures Act (RESPA) Examination
Checklist
III-4.18       FDPA Audit Checklist
III-5.1         Electronic Fund Transfers Act (EFTA) Checklist
III-5.2         Expedited Funds Availability Act Checklist
III-5.3         Truth in Savings Worksheet

eBooks, CDs, downloadable content, and software purchases are noncancelable,
nonrefundable and nonreturnable. Click here for more information about
LexisNexis eBooks. The eBook versions of this title may feature links to Lexis+™
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to access this content.

 



FEATURED AUTHORS

Gary M. Deutsch


GARY M. DEUTSCH

Gary M. Deutsch, CPA, MBA, CMA, CBA, CIA, has worked extensively with financial
institutions in audit, lending, financial, and operational areas. He has served
in senior positions for regional banks as VP of Finance, Real Estate Loan
Officer, and Senior Audit Manager. Mr. Deutsch served as a consultant to
financial institutions in strategic planning, profit improvement, financial
management, and merger- and acquisition-related studies while working at KPMG.
He was the CFO at a start-up bank, where he organized the accounting, finance,
and investment functions to manage significant growth. Mr. Deutsch is the
President of BRT Publications LLC, a professional authoring company serving the
financial industry. Some of his published works for Sheshunoff include Risk
Assessments for Financial Institutions, Practices and Procedures for Financial
Institution Risk Management, Internal Audit Procedures Handbook, Internal
Auditor Alert, Credit Manager’s Risk Mitigation, and Bank Security Report.

View all products by Gary M. Deutsch (7)




TABLE OF CONTENTS

Effective Audit Services
 
Chapter I-1 A Practical Approach to Establishing Internal Audit Policies and Procedures
 
Chapter I-2 Organizing an Effective Internal Auditing Function
 
Chapter I-3 Managing the Audit Planning Process
 
Chapter I-4 Staffing the Internal Audit Function
 
Chapter I-5 Risk Assessment of Sound Practices for Model Risk Management
 Financial Management and Reporting
 
Chapter II-1 Financial Reporting Audits
 
Chapter II-2 Funds Audits
 
Chapter II-3 Asset/Liability Management Audits
 
Loans
 
Chapter II-4 Loan Audits
 Operations
 
Chapter II-5 Operations Audits
 Technology
 
Chapter II-6 Technology Audits
 
Chapter II-6A Outsourcing Technology Services Audit Guidance
 Branches
 
Chapter II-7 Branch Office Audits
 
Insurance and Legal
 
Chapter II-8 Insurance and Legal Audits
 
Chapter II-9 Employee Benefits
 
Chapter II-10 Auditing to Avoid Problem Bank Status
 
Regulatory Compliance
 
Chapter III-1 Risk Assessment of Consumer Compliance Management Programs
 
Chapter III-2 BSA/AML
 
Chapter III-3 Fair Credit Reporting
 
Chapter III-4 Loan Compliance Audit Topics
 
Chapter III-5 Deposit Compliance Audit Topics
 
Chapter III-6 Preparing for Regulatory Examinations

 


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