NAFCU's Information Security Audit for Credit Unions

NAFCU’s Information Security Audit for Credit Unions

Author: Regulatory Compliance Associates (REGCOM)
Frequency of Update: 2 updates annually
Price: $525

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With specific compliance and audit requirements regarding customer identification programs and information security, ensuring that a credit union's information system and network has adequate controls has never been more important. Especially with the specific independent auditor requirements under Sarbanes-Oxley, self-auditing these systems is the best way to minimize risk in an increasingly operational-focused regulatory environment. This manual will assist all types of audit staff in performing audits of information. It will also provide guidance for writing recommendations on designing information security systems, outsourcing information security for support, and upgrading existing security systems.

Inexperienced auditors or audit staff members will appreciate the in-depth coverage of:

Information security audit and the important evaluations of systems and controls including details regarding the basic objectives
Planning the information security audit
Factors impacting the designing and implementation of a dynamic information security audit program
Weighing and/or measuring business considerations that impact the information security audit process
Sample information security audit policy and general procedures
Sample information security audit questionnaires to information security related controls and processes
Significant regulatory implications pertaining to information security audits
Reminders on unique systems issues
Underscoring the importance of information risk assessment(s)
Sample information security audit programs for specific areas
Sample information security systems overviews
Examination of an institution’s information security controls by external third parties, particularly federal financial institution regulatory examiners

About the Author

In 1988, Jerry Miller founded Regulatory Compliance Associates, Inc. (REGCOM) for the purpose of providing proactive regulatory compliance products and services to financial institutions. Mr. Miller was formerly with the Office of the Comptroller of the Currency (OCC) as a field examiner and member of the OCC Chicago Regional/District management team. He also served as Midwest practice leader for KPMG Peat Marwick’s Financial Institutions Regulatory Compliance Consulting Practice Group.

With a wide range of regulatory examination and financial institution experience, REGCOM’s staff has experience in assisting management and directorates of complying with regulations, design and development of individual regulatory compliance programs for financial institution clients of all sizes, training, and regulatory agencies, REGCOM is positioned to maintain the reputation earned as a valued resource for financial institutions’ regulatory risk needs. As author of numerous publications covering a variety of management and regulatory focus areas, REGCOM offers proactive information and solutions to all levels of staffing within the financial services industry.