Depository Operations Internal Control and Audit Manual

Author: Regulatory Compliance Associates, Inc. (REGCOM)
Format: 3-Ring Binder with CD
Price: $400
Plus shipping and handling.
Sales Tax: for NY, TX, DC, CT orders only.

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All the tools you need to analyze your operations risk exposure and make enhancements before your next regulatory examination

Sheshunoff’s Depository Operations Internal Control and Audit Manual provides you with sample internal control and internal audit policies and procedures for your entire operations function. This comprehensive manual gives you all the tools you need to help you manage, design, develop, implement and maintain a proactive risk management system.

The regulators are scrutinizing financial institutions for safety and soundness and risk management throughout all of their operational areas. Your senior management and board of directors have the responsibility of making sure that the operations policies and procedures they have adopted are in fact being carried out as they were approved.

Get sample internal audit policies and procedures for each key area of your operations area

With Sheshunoff’s Depository Operations Internal Control and Audit Manual you get easily customizable policies, procedures and checklists that will help you effectively maintain proactive internal controls and conduct periodic internal audits of your institution.

The Depository Operations Internal Control and Audit Manual covers:

Internal Controls and Their Basic Objectives
Designing Internal Control Systems
Monitoring Internal Controls
Internal Control Checklists
Organizing the Internal Audit Function
Developing Audit Scope
Preparing Internal Audit Procedure Work Papers, Performing Audit Sampling, and Using Internal Audit Policy Checklists
Internal Audit Control Procedures
Internal Audit Policy Checklists
And Much More!

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.