Thorough internal auditing has always been a key element of maintaining a safe and sound financial institution. The impact of recent events, as well as regulatory and legal changes, have only enhanced the importance of a well-maintained internal auditing program.

Our 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 include:

Start-Up: Preparation is the key to a successful implementation. You’ll learn how 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 checklists for eight primary areas subject to audit.

Sample Documents: Documents, such as planning memos, charters, questionnaires, and more can be found both in print and on the included CD.

Procedures: Detailed internal audit procedures for most areas of the bank are included. Major audit-engagement areas covered include:

• Financial Reporting
• Funds
• ALM
• Loans
• Deposits
• Operations
• Technology
• Branches
• Insurance and Legal Matters, including litigation

About Gary M. Deutsch

Gary M. Deutsch is the founder and president of BRT Publications LLC. BRT develops research, education and training materials to help industry professionals effectively manage risks while complying with laws and regulations. Gary has trained thousands of financial institution professionals in all aspects of risk management and has written numerous books in the U.S. and Europe on topics such as credit risk, internal audit and compliance with Generally Accepted Accounting Principles. Gary has extensive risk management and internal audit experience through his association with financial institutions of all sizes as well as through his role leading the KPMG financial institution consulting practice in the Mid-Atlantic region. Gary is a licensed CPA in Maryland and has a B.A. in accounting and an MBA in finance from Loyola University Maryland. He has also achieved the Certified Management Accountant, Certified Internal Auditor and Certified Bank Auditor designations. See all works by Mr. Deutsch

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