Thorough internal auditing has always been a key element of maintaining a safe and sound financial institution. Recent events and legal changes, including the implementation of Sarbanes-Oxley, 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 has worked extensively in management positions with both regional financial institutions and community banks in audit, lending, financial, and operational areas. He served as a KPMG financial institutions consulting practice leader in the Mid-Atlantic region delivering strategic planning, profit improvement, financial management, and merger- and acquisition services. Mr. Deutsch is the founder and president of BRT Publications LLC, a professional education and training company serving the financial industry for over ten years. In this capacity he has written numerous publications for Sheshunoff and A.S. Pratt on topics such as risk management, credit management, asset and liability management, and accounting and internal auditing. He also conducts audio conferences and webinars on current issues related to these topics. Mr. Deutsch 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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