Bank Operations Audit Checklists

The financial operations side of the financial institution continues to be scrutinized by the regulatory agencies, as well as the board of directors when reviewing the bank’s financial condition. Our staff has created risk management tools as well as in-house monitoring and auditing tools to assist your staff in ensuring this area in your financial institution remains in compliance with internal policy requirements as well as regulatory guidelines. You and your staff are given access to a suite of products that range from policy templates, to risk assessment templates and completing the package with audit and monitoring worksheets.

Last Updated Tool Name
01/12/2023 Consumer Complaints and Regulatory Expectations Training
01/09/2023 UDAAP Board of Directors Training
01/09/2023 Requirements for Banks Over Certain Thresholds – Audit and CRA
10/25/2022 Cash and Due from Bank Audit Worksheet
10/11/2022 Compliance Risk Assessment Rollup (Book 1 of 2) and Compliance Risk Assessment Questionnaire Template (Book 2 of 2)
10/03/2022 UDAAP Policy
08/08/2022 Peer to Peer Program Risk Assessment
10/22/2021 Bank Lobby Signage
08/06/2021 P2P Audit Checklist
01/29/2021 Compliance Year-End Checklist
12/30/2020 Record Retention Schedule Cheat Sheet
11/18/2020 UDAAP Risk Assessment
11/06/2020 Escrow Account Audit Workpaper
09/14/2020 Business Continuity Plan Policy
06/29/2020 OCC Digital Activities Advance Notice of Proposed Rulemaking Summary
06/24/2020 Regulation AA Unfair, or Deceptive Acts or Practices (UDAP) Summary
05/28/2020 ACH Annual Data Security Audit Worksheet
05/27/2020 Regulation D Audit Worksheet
04/10/2020 Handling Offsite Audits Checklist
10/29/2019 Internal Audit Schedule
01/03/2018 UDAAP Training
08/09/2017 BSA/AML/OFAC Overall Risk Assessment
08/04/2017 ACH Risk Assessment
05/05/2017 General Ledger Reconciliation Worksheet
05/04/2017 Security Risk Assessment
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