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#1532914 - 04/07/11 06:59 PM Updating Branch Audit Program
IA902 Offline
New Poster
Joined: Apr 2011
Posts: 3
New Jersey
Trying to update the branch audit program.
Surveyed CEO and Audit Committee.
Pulled what Retail and Security perform for branches.
Other thoughts please.
Thanks!

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Audit
#1533034 - 04/07/11 08:59 PM Re: Updating Branch Audit Program IA902
Midnight Offline
Member
Midnight
Joined: Jun 2008
Posts: 69
Upper Mid West
*Controls over cash including teller drawers, vaults, night drop and ATM.
*Safe Deposit
*Controls over gift cards, travelers checks, other official checks.
*Safeguarding of customer information
*I also do some compliance review things like required postings and disclosures.

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#1533421 - 04/08/11 05:33 PM Re: Updating Branch Audit Program Midnight
Black & Gold Offline
Junior Member
Black & Gold
Joined: Aug 2008
Posts: 35
Dark Side of the Moon
Cash and bait money
Vaults
Automated Teller Machines (ATM)
Night Drop
Negotiable Instruments
Branch Security
Branch Capture
Intra-Day Logs
Safe Deposit Boxes
Escheated Safe Deposit Box Contents
BOO Teller Audits
Reconciliations
Security Key Logs
Opening Procedures
Vault, ATM, Night Drop, DVR and Branch Capture Security
Safety and appearance of branch
Notary Journals
Over/Short GL
_________________________
"Who would have thought that the thing that would save this company would be work. And pancakes." - Michael Scott-The Office

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#1533448 - 04/08/11 06:02 PM Re: Updating Branch Audit Program Black & Gold
Dolly Nugent Offline
Diamond Poster
Dolly Nugent
Joined: Nov 2000
Posts: 1,820
Southern California
Notary journals?
_________________________
Dolly Nugent
CRCM
Opinions expressed are my own.

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#1533829 - 04/11/11 02:49 PM Re: Updating Branch Audit Program Midnight
IA902 Offline
New Poster
Joined: Apr 2011
Posts: 3
New Jersey
Thank you for the respones.

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#1533834 - 04/11/11 02:51 PM Re: Updating Branch Audit Program IA902
IA902 Offline
New Poster
Joined: Apr 2011
Posts: 3
New Jersey
Thank you Midnight and Black and Gold for your responses.

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#1533918 - 04/11/11 04:48 PM Re: Updating Branch Audit Program IA902
Black & Gold Offline
Junior Member
Black & Gold
Joined: Aug 2008
Posts: 35
Dark Side of the Moon
Dolly - we do very limited work on the notary journals. We select all journals at the branch and make sure quarterly reviews are completed and review to make sure the logs are actually complete. We've had some issues in the past with missing information.
_________________________
"Who would have thought that the thing that would save this company would be work. And pancakes." - Michael Scott-The Office

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