Audit Programs

Practical audit programs to aid financial services auditors in their day-to-day activities.

Audit Program Objectives:

  • Determine compliance with company policy and procedures.
  • Determine the effectiveness of the policy and procedures.
  • Determine the accuracy of reports generated by department personnel.
  • Evaluate the adequacy of internal controls.
  • Determine compliance with applicable state and federal regulations pertaining to the function under review.
  • Search for value-added recommendations that improve the efficiency and contribution of the function under review.

Do you have an audit program you would like to share? Send it to the editor.

Programs available in this issue of FSA Times include:

Actuarial Reserves

Bank Investments

Bank Operations

Bank Secrecy Act and Anti-money Laundering

Bond Operations

Business Impact Analysis

Business Impact Analysis Disaster Recovery Plan

Commercial Lending

Credit Card

Credit Card Loan

Deferred Acquisition Costs

Deposit Operations

Derivative Risk Management

Fixed Assets

Human Resources Payroll

Indirect Loans

Life Insurance

Privacy Review

Telecommunications Security

Travel and Expense Reimbursement