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#1593115 - 08/17/11 06:56 PM Auditing Employee Accounts
Anonymous
Unregistered

How often do other banks audit employee accounts? Who completes this audit and is it included as part of another internal audit? Such a review is pretty well non-existent at our FI.

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#1593153 - 08/17/11 07:23 PM Re: Auditing Employee Accounts Anonymous
osucpa Offline
Diamond Poster
Joined: May 2011
Posts: 1,400
We are an OCC regulated bank. We review employee accounts on a monthly basis. We use our BSA software to generate specific worklists for employee accounts.

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#1593202 - 08/17/11 07:56 PM Re: Auditing Employee Accounts osucpa
ACBbank Online
Power Poster
ACBbank
Joined: Jul 2006
Posts: 4,172
New York City
OCC bank as well. All accounts, employees, directors, etc. are running through the AML software. If they are a match, an investigation is begun just like any other account.
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#1593380 - 08/18/11 12:27 PM Re: Auditing Employee Accounts ACBbank
A_G Offline
10K Club
Joined: Jul 2004
Posts: 18,958
you might find this thread in the audit forum useful
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