Bank Risk Management and Audit Checklists

Up-to-Date Banking Checklists Developed By Experts

Checklists and worksheets are multi-functional. Both are provided in modifiable formats to be made unique to each specific users policies, but include step-by-step processes to take the user through all the required documentation for each banking process as well as step-by-step procedures to complete any in-house audit or monitoring project. These checklists and worksheets will ensure the financial institution has implemented consistent processes across branch lines, and has complete documentation of those processes.

Last Updated Tool Name
03/19/2024 Board & Audit Committee Oversight Worksheet
03/08/2024 Regulatory Change Management Tracker
02/05/2024 RESPA Section 8 Audit Worksheet
01/01/2024 Ability to Repay and Qualified Mortgage Audit Worksheet
12/29/2023 Fixed Assets Audit Worksheet
12/29/2023 Purchased and Brokered Loans Risk Internal Control Checklist
12/29/2023 Investment Securities Audit Worksheet
09/14/2023 Automated Valuation Model (AVM) Checklist
08/17/2023 Loan Originator Compensation Audit Worksheet
05/01/2023 Regulation CC Audit Worksheet
04/24/2023 Small Business Lending Application Register (SBLAR) Data Points Chart
03/30/2023 Consumer Complaint Tracking and Resolution Log Worksheet
03/20/2023 HMDA Fair Lending Analysis – Denial Disparity Ratio Worksheet
02/07/2023 Fair Lending Comparison by Gender Worksheet
10/25/2022 Cash and Due from Bank Audit Worksheet
09/19/2022 FDCPA Third-Party Due Diligence Checklist
08/09/2022 Appraisal Program Audit Workpaper
12/28/2021 Regulation B Audit Worksheet
12/01/2021 Compliance Year-End Checklist
10/22/2021 Bank Lobby Signage
09/08/2021 Annual Independent Audits and Reporting Requirements Checklist
08/06/2021 P2P Audit Checklist
03/29/2021 Regulation DD Truth in Savings Checklist
11/06/2020 Commercial Lease Testing Matrix
11/06/2020 Commercial Lease Audit Workpaper
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