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#19257 - 06/03/02 05:39 PM compliance and/or audit program
Anonymous
Unregistered

Any compliance officers or audit managers out there? I'm looking for samples of written compliance and/or audit programs for comparison purposes. I'd really appreciate any help. Please e-mail at mrathbun@alliedfirst.com
Thanks.

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Audit
#19258 - 06/03/02 06:53 PM Re: compliance and/or audit program
Maria Offline
Platinum Poster
Joined: Apr 2001
Posts: 502
Sylacauga, Al, United States
Do you have any specifically that you are looking for? I do both compliance and internal safety/soundness audit. I am also just starting on risk assessment program worksheets. Maybe we can help each other.

Requests and opinions are mine not my employer.

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#19259 - 06/03/02 07:00 PM Re: compliance and/or audit program
bean Offline
100 Club
Joined: Mar 2002
Posts: 225
Maria:

I am really just responding to your e-mail in particular. I was wondering if you would be willing to share you risk assessment worksheet? I am assuming that you are referring to Customer Info Security?
Let me know,
Thanks,
Lisa

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#19260 - 06/04/02 04:01 PM Re: compliance and/or audit program
lisa Offline
Gold Star
Joined: Aug 2001
Posts: 264
Gainesville, TX USA
I would also be interested in seeing what you've done on the risk assessment worksheet.
lbezner@fsbgainesville.com

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#19261 - 06/04/02 04:39 PM Re: compliance and/or audit program
Maria Offline
Platinum Poster
Joined: Apr 2001
Posts: 502
Sylacauga, Al, United States
I am just finishing establishing the worksheets for us to use in the Internet banking program/Info security. Some of the worksheets I took from other programs and some I have created myself from the requirements identified by the agencies.

I would be glad to mail you a copy (not filled in by our assessment). Can you telephone me with your address or post it?

One more thing, maybe we can all consider a way to share various risk assessment worksheets since they take so much time to establish. I have an overall risk assessment model that I will be using with management on their assessment in the future, but it is my belief that each functional area and/or service should have its own risk assessment worksheet that is much more detailed. Maybe I am wrong? Is anyone thinking this way? I also have a regulation risk assessment program that we are just starting to use. My hope is that in a two year time frame, my auditing will be more risk focused and time efficient. I also want to be able to supply management and the audit committee with more meaningful material.



Thanks

Opinions are mine not my employer.

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#19262 - 06/04/02 06:56 PM Re: compliance and/or audit program
lisa Offline
Gold Star
Joined: Aug 2001
Posts: 264
Gainesville, TX USA
Maria - my address is Lisa Bezner P.O. Box 10 Gainesville, TX 76241-0010

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#19263 - 06/04/02 07:32 PM Re: compliance and/or audit program
I Wear Many Hats Offline
Platinum Poster
I Wear Many Hats
Joined: Mar 2001
Posts: 591
the beautiful state of ME
Could you also send me copies of your Risk Assessment worksheets Maria?

Sue Norton, PO Box 940, Damariscotta ME 04543

THANKS
_________________________
The paradox of planning is nothing happens....

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#19264 - 06/04/02 08:08 PM Re: compliance and/or audit program
NotALawyer Offline
Gold Star
NotALawyer
Joined: Nov 2001
Posts: 455
Please add me to the mailing list:

Robert Marx
Wright Express Financial Services
5353 South 960 East, Ste 200
Salt Lake City, UT 84117



Thanks!

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#19265 - 06/04/02 08:22 PM Re: compliance and/or audit program
Anonymous
Unregistered

Maria - Did you design your regulation risk assessment program or did you find it somewhere?

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#19266 - 06/04/02 09:31 PM Re: compliance and/or audit program
Anonymous
Unregistered

May I also get a copy of your risk assessment? Thank you.

jbfok@cox.net

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#19267 - 06/04/02 09:31 PM Sounds like a job for Bankers Tools!
Princess Romeo Offline

Power Poster
Princess Romeo
Joined: Jun 2001
Posts: 8,272
Where the heart is
I just developed a Risk Assessment worksheet for use in the branches. It covers more mundane stuff such as:
"Does anyone have their password taped on or near the computer?" - stuff like that.

Perhaps this is an area of Bankers Tools where we could post the sheets we develop ourselves.
_________________________
CRCM,CAMS
Regulations are a poor substitute for ethics.
Just sayin'

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#19268 - 06/04/02 10:43 PM Re: compliance and/or audit program
soliver Offline
Member
soliver
Joined: Mar 2002
Posts: 66
Thousand Oaks, California
Please send me a copy
Sheila Oliver, Compliance Analyst
The Golden 1 Credit Union
6507 4th Avenue
Sacramento, CA 95817
_________________________
The content written does not reflect the opinion of my company. It is my opinion only.

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#19269 - 06/05/02 12:24 AM Re: Sounds like a job for Bankers Tools!
MRJ Offline
100 Club
MRJ
Joined: Jun 2001
Posts: 174
I hope these risk assessment worksheets can be posted in bankers tools, but if not could you please send them to me. I would greatly appreciate it

mjennings@borel.com
_________________________
This is not a legal opinion or that of my employer.

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#19270 - 06/05/02 03:36 PM Re: Sounds like a job for Bankers Tools!
Anonymous
Unregistered

There is some risk assessment information and matrix in the Tools section. Is this the same as what Maria is sending around?

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#19271 - 06/06/02 06:45 PM Re: Sounds like a job for Bankers Tools!
IUalum Offline
Platinum Poster
IUalum
Joined: Mar 2002
Posts: 940
Kentucky
Bonnie, I would like to see your risk assessment worksheets as well. Could you please send them to usbavp@hotmail.com or fax them to 270-881-9587? Thanks!!
_________________________
Opinions expressed are mine and not necessarily that of my employer.

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#19272 - 06/06/02 08:19 PM Re: Sounds like a job for Bankers Tools!
Happy Offline
Gold Star
Happy
Joined: Jan 2002
Posts: 282
Bonnie, et too brute' Don't spell check that. Requesting your risk assessment worksheets. My fax is 712-722-3819 or e-mail pege@ambankiowa.com. Thanks

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#19273 - 06/06/02 09:31 PM Re: compliance and/or audit program
Anonymous
Unregistered

NO MORE "Me Toos". Please! I have posted Bonnie's Information Security Access Assessment in Banker Tools under the Compliance category. (Cool tool, Bonnie!)

Earlier this afternoon, as noted in the special Compliance Briefing, we added the Internal Audit Risk Assessment Model. (It's in the Operational Accessories area of Banker Tools.) Thanks, Maria!

Wherever possible, we post these in the Tools section. Where it isn't possible, please use the private email function in this message board to send the user a private request.

From this point forward, all audit-related posts should go in the new audit forum.

I feel like the message board police at the moment.

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#19274 - 06/07/02 04:45 PM Re: compliance and/or audit program
Anonymous
Unregistered

i am interested in any help ideas and worksheet
programs samples of any kind
just getting started.

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#19275 - 06/07/02 04:52 PM Re: compliance and/or audit program
Maria Offline
Platinum Poster
Joined: Apr 2001
Posts: 502
Sylacauga, Al, United States
Have you reviewed the Bankers Tools section on here? Also some of the worksheets I am developing I get ideas from the website www.auditnet.com A friend I met at a conference told me about the website. It has been very helpful. But when you have specific needs, post it, usually someone will share one with you, if they have it.

Hope this helps.

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#19276 - 06/28/02 06:50 PM Re: compliance and/or audit program
Anonymous
Unregistered

Maria,

Please send me a copy too! THis is something I have been trying to get started.
bwilliams@austinbank.com

Thanks!

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#19277 - 06/28/02 10:49 PM Re: compliance and/or audit program
Baylor Dad Offline
New Poster
Baylor Dad
Joined: Oct 2000
Posts: 21
Texas
Does anyone out there have a good audit program for reviewing debit cards? The BAIM doesn't have a lot about them. I've also gone to the AuditNet exchange program. They have one, but I'm looking to improve on it.

Thanks.

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#19278 - 07/08/02 05:53 PM Re: Sounds like a job for Bankers Tools!
Mary W Offline
New Poster
Mary W
Joined: Jul 2002
Posts: 1
Panama City, FL
Bonnie,
Please e-mail your risk assessment worksheets to me at
whitehum@peoplesfirst.com. Thank you!

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#19279 - 07/10/02 03:10 AM Re: Sounds like a job for Bankers Tools!
Andy_Z Offline
10K Club
Andy_Z
Joined: Oct 2000
Posts: 27,355
On the Net
Bonnie's 18 documents are already downloadable at the Tools page, http://www.bankersonline.com/tools/tools_compliance.html#15
_________________________
AndyZ CRCM
My opinions are not necessarily my employers.
R+R-R=R+R
Rules and Regs minus Relationships equals Resentment and Rebellion. John Maxwell

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#19280 - 08/22/02 07:57 PM Re: compliance and/or audit program
Anonymous
Unregistered

Could you send me a copy of your risk assessment worksheet, maria?

Judy W Wilhoit
P O Box 919
Harlan, Ky 40831

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#19281 - 08/30/02 07:39 AM Re: Sounds like a job for Bankers Tools!
Princess Romeo Offline

Power Poster
Princess Romeo
Joined: Jun 2001
Posts: 8,272
Where the heart is
Andy - thanks for the props, but I cannot take credit for those 18 Risk assessment worksheets. My Information Security Assessment is a little higher up on the page, under the "I"'s.
_________________________
CRCM,CAMS
Regulations are a poor substitute for ethics.
Just sayin'

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