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#1887251 - 01/15/14 10:13 PM Compliance Audit Resources
rachelchri Offline
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Joined: Aug 2010
Posts: 165
Previously our Bank was using the "Self Assessment and Regulatory Compliance Review" workbooks from Sheshunoff for our Internal Audit reviews. I was wondering if anyone has had any luck with a specific company and/or product that they would recommend that includes: audit checklists, sample policies, and risk assessments. We are sort of looking for a one-stop shop instead of compiling checklists/policies from numerous resources.


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#1887264 - 01/15/14 10:31 PM Re: Compliance Audit Resources rachelchri
osucpa Offline
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Joined: May 2011
Posts: 1,403
We use Sheshunoff at the present time. I do not like their new format and will be shopping for a new vendor in about 6 months.

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#1888827 - 01/21/14 10:14 PM Re: Compliance Audit Resources rachelchri
complianceitor Offline
Junior Member
Joined: Mar 2013
Posts: 25
I am also not happy with Sheshunoff. I have used their Compliance Expert online service for years, but the changes recently made to it and especially the support available since Lexus Nexus purchased them is disappointing. So, I would also be interested in another resource for the same thing.

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#1899202 - 02/22/14 04:29 PM Re: Compliance Audit Resources rachelchri
Rocky P Online
Power Poster
Joined: Jun 2003
Posts: 7,459
ICBA has a good compliance audit program updated three times a year.

See for link
Integrity. With it, nothing else matters. Without it, nothing else matters.

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#1901216 - 02/28/14 05:26 PM Re: Compliance Audit Resources rachelchri
RR Jen Offline
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RR Jen
Joined: May 2003
Posts: 3,759
Running and riding everywhere ...
I've used prior versions of both Sheshnoff and ICBA in the past. It's not the easiest, but I've found the best way is to take your exam manual and create your program from there.
I don't need any more negativity in my positive and helpful people or I will kick you in the shins!!!

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#1901232 - 02/28/14 05:45 PM Re: Compliance Audit Resources rachelchri
Kathleen O. Blanchard Offline

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Kathleen O. Blanchard
Joined: Dec 2000
Posts: 21,292
I have ended up liking the exam manuals; some of the others just seem too compartmentalized, making more work in the long run.
Kathleen O. Blanchard, CRCM "Kaybee"
HMDA/CRA Training/Consulting/Mapping
The HMDA Academy

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#1904249 - 03/11/14 06:08 PM Re: Compliance Audit Resources rachelchri
yy2say Offline
Gold Star
Joined: Apr 2002
Posts: 279
I've used American Bank Systems CompliancePro in past lives and found it to be up to date and easy to use. They incorporate the prudential regulators exam manuals into the programs. Worth a look.

Also, look at Continuity Control
"Go, Dog. Go!" ~ P.D. Eastman

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#1908302 - 03/25/14 02:14 PM Re: Compliance Audit Resources rachelchri
Combustible Offline
Diamond Poster
Joined: Dec 2008
Posts: 1,268
This year we are changing our audit procedures from full blown affiliate audits to auditing by Regulation (OCC is happy). We also changed our auditing formats to coincide with CFPB's exam manual, or if the CFPB hasn't gobbled up a specific reg yet, we go with the exam manual from the agency that owns the reg. It's tough getting used to something different, but none the less, examiners will be happy (hopefully). We got rid of Sheshnoff a couple of years ago.

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