| Description |
PDF/HTML |
Word/Excel |
| Workpapers |
|
|
CRA Public File & Notice
BOL user "Starter" created this 7-page workpaper that focuses on the CRA Public File and Notice. You can download the files by right clicking the links. |
PDF |
Word |
Allowance for Loan and Lease Loss
This "Findings Report" is brief, but is sufficient to conduct a standard ALLL audit. It contains both Objectives and Audit Procedures. |
PDF |
Word |
Allowance for Loan Loss Testing -- SOX
This "Allowance for Loan Loss Testing" can be used in addition to the ALLL workpaper above, for further testing according the Sarbanes Oxley (SOX) requirements many banks are subject to. |
PDF |
Word |
Regulation O
This "Audit of Regulation O" program is seven pages of workpapers. It includes a review of the policy, processes, personnel knowledge, testing of files and more. |
PDF |
Word |
Bank Secrecy Act
This "Bank Secrecy Act" audit workpaper is nine pages long. It is an in-depth review that starts with the last audit, transaction testing, exceptions testing, OFAC, SARs, NBFIs, CIP, information sharing and more. |
PDF |
Word |
Audit Program for Fedline Advantage
This "Audit Program for Fedline Advantage" audit workpaper in an Excel program. It was designed based on the FRB Password Practice Statement and the FRB Operating Circular 5. You can read more here. |
|
Excel |
Branch Auditing Workpaper
This "Branch Auditing Workpaper" will help an auditor or branch personnel verify signage and basic knowledge requirements standard for most branch locations. Read more here. |
PDF |
Excel |
Dormant Accounts Audit Program
This "Dormant Accounts Audit Program" will help an auditor work through dormant accounts, verifying signature cards, account status, and in sending confirmations. Read more here. |
PDF |
Word |
FDIC Complaince Examination Manual
The "FDIC Complaince Examination Manual" is often separated into sections that must be downloaded separately. We have combined them into one PDF document. Read more here. |
PDF |
|
FRB Consumer Compliance Handbook
The "FRB Consumer Compliance Handbook " is often separated into sections that must be downloaded separately. We have combined them into one PDF document. Read more here. |
PDF |
|
Internal Audit Manual for Small Banks
This "Internal Audit Manual for Small Banks" manual is a good tool for banks that are trying to create uniformity within their audit program. The contents include separate files for the Table of Contents(1),
Audit Finding Summary (2),
Audit Procedures - Department (3),
Information Request List (4),
Final Audit Report (5),
and an example of a final audit report (6).
Read more here. |
PDF-2
PDF-3
PDF-4
PDF-5
PDF-6 |
Excel-1
Word-2
Word-3
Word-4
Word-5
Word-6 |
Red Flags/Identity Theft Audit Program
This "Red Flags/Identity Theft Audit Program " is based on the interagency examination procedures and BOL user "KYAuditor" put the information into an audit program format. Read more here. |
PDF |
Word |
Advertising Audit Workpaper
BOL user "BNKO" created this advertising checklist that includes the Oct. 2009 Reg Z changes. Both open- and closed-end credit are covered inaddition to dwelling loans and deposits.
(Pub. 10-29-09)
|
PDF |
Word |
| Associated Forms and Tools |
|
|
Audit Action Items Tracking Report
Once an audit is complete, it is vital to track the deficiences and know that they have been adequately corrected. Here are two versions of similar forms that will allow you to easily track corrective action requests. Read more here. |
PDF-1
PDF-2 |
Word-1
Excel-2 |
Audit Extension Guide and Request Form
Audit schedules sometimes get off track. These forms will involve management and even the Audit Committee in the granting of extensions in a formalized process. Form-1 is the Extension Form, Form-2 is a Guideline document. Read more here. |
PDF-1
PDF-2 |
Excel-1
Word-2 |
Audit Workbook
This "Audit Workbook" is an Excel program that allows you to establish and track your audit calendar while logging your results. Read more of the description on Andy Zavoina's website. |
HTML |
|
Internal Audit Risk Assessment
This "Internal Audit Risk Assessment" is an Excel program that will help prioritize your audits. Read more of the description here. |
|
Excel |
Audit Sample Calculator
This "Audit Sample Calculator" is an Excel program that will help select a statistically representative sample of files or transactions. Read more of the description here. |
|
Excel |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
