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#2077168 - 05/05/16 01:24 PM Audit/Risk Assessment
Blessed Offline
Diamond Poster
Blessed
Joined: Oct 2007
Posts: 2,390
USA
Does anyone have a Marketing Department Audit Program or Risk Assessment they'd be willing to share?
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Ecclesiastes 10:2 (NIV)

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#2077372 - 05/06/16 01:30 PM Re: Audit/Risk Assessment Blessed
rlcarey Offline
10K Club
rlcarey
Joined: Jul 2001
Posts: 83,371
Galveston, TX
What are you auditing? Most audits of advertising and whatnot happen during the audit of the specific regulation or area (Z,B,DD,UDAAP, Fair Lending). I'm not aware of many banks that audit a marketing department.
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The opinions expressed here should not be construed to be those of my employer: PPDocs.com

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#2077426 - 05/06/16 04:17 PM Re: Audit/Risk Assessment Blessed
Dog Lady Offline
Member
Joined: Dec 2015
Posts: 74
It probably relatively new to audit for marketing risk rather than marketing related compliance risk. A modern non-compliance marketing audit would really be mostly a social media risk audit. (Who has access? Who's authorized to post or to approve posts? How do we prevent social media account takeover and what do we do if it happens? How are we protecting ourselves from IS vulnerability when accessing social media sites? What do we do if a complaint is publicly posted on social media or some other site from a reputation risk standpoint? How do we prevent our staff from "advertising" on behalf of the bank on their own social media? etc...)

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