Audit Automation

Proprietary database systems for Audit Planning, Audit Work Papers, Dashboard Reporting, Issues Tracking and Reporting, Audit Universe and Risk Assessment, and BSA-AML Compliance and Monitoring.
Continuous auditing and computer assisted audit techniques to test compliance, finance, accounting, information technology and operational areas.

Audit Administration

Plan creation, Risk Assessment, Audit Scope, managing internal and external audit staff, validation of audit findings, audit work paper and report review, presentation of findings and recommendations to Executive Management, the Audit Committee, the Board of Director’s, and regulatory agencies.

Audit Management

Financial Reporting and Controls Non-Deposit Investment Products, BSA/AML, Banking and Insurance Regulations, Lending (Origination, Underwriting, Compliance, Credit Adminitration, Collections and Reposessions, FAS 114, FAS 5, Allowance for Loan and Lease Losses) Deposits (Retail/Branch Banking, Deposit Operations, Compliance), Information Technology (GLBA, Information and Physical Security, Privacy, Vendor Management, Access Controls).

Process Improvement

Concerned that your business isn't operating as effectively as it could? We specialize in reviewing and analyzing processes and controls, identifying high-risk areas, and recommending custom-made automated tools to improve monitoring and oversight.
Extensive retail banking experience including customer service, branch management, consumer and residential loan origination and underwriting, mutual fund and annuity sales and sales management, and managerial and budget responsibility for an 11 branch retail network.

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1-407-85-AUDIT (407-852-8348)