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#28902 - 08/22/02 07:37 PM Compliance Auditing
Anonymous
Unregistered

I have recently started trying to compile an audit plan for the deposit side of compliance. The information I have found so far tends to deal more with internal audit rather than being compliance focused. Does anyone know of any resources on the internet that deal more with compliance auditing?

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General Discussion
#28903 - 08/22/02 08:24 PM Re: Compliance Auditing
NotALawyer Offline
Gold Star
NotALawyer
Joined: Nov 2001
Posts: 455
Two great sources I have found are Kirchman's Big Orange Book (BOB) Kirchman.com and a poduct by Shechunoff Sheshunoff.com . Kirchman is free and mainly provides information about compliance rather than compliance review checklists. Sheshunoff has a Bank Compliance on CD that is GREAT for compliance audits. However, it comes at a price.

I hope this helps (and I hope I entered the links correctly...)

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#28904 - 08/22/02 08:32 PM Re: Compliance Auditing
Lestie G Offline

Power Poster
Joined: May 2002
Posts: 3,606
Near the Land of Enchantment
I build my programs from the OCC's compliance handbooks. You have to customize them, but they're well written.
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#28905 - 08/22/02 08:40 PM Re: Compliance Auditing
Tina A Sweet Offline
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Tina A Sweet
Joined: Aug 2001
Posts: 1,033
Marysville, Ca.
I am an OCC regulated bank. I just recently underwent a Compliance exam. I use Alexinformation's Regulatory Compliance Audit Program. Let me tell I love this program and the examiners thought it to be a great tool.
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mailto:tsweet@goldcountrynb.com

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#28906 - 08/22/02 08:58 PM Re: Compliance Auditing
DawgFan Offline
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DawgFan
Joined: Jul 2002
Posts: 1,678
United States
I agree with Tina. We also have the Alex Information books. Great checklists.
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#28907 - 08/22/02 09:24 PM Re: Compliance Auditing
Anonymous
Unregistered

Thanks for all of the suggestions. How might I go about finding the Alex Information Books? Do they have a website?

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#28908 - 08/22/02 09:41 PM Re: Compliance Auditing
NMB Offline
Gold Star
Joined: Jun 2002
Posts: 255
Southeast Michigan
The ABA also has a compliance audit manual. It is probably similar to Sheshunoff's. I don't know which one is less expensive.
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#28909 - 08/22/02 09:58 PM Re: Compliance Auditing
DawgFan Offline
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DawgFan
Joined: Jul 2002
Posts: 1,678
United States
They do indeed. I will be glad to give you the address, but I am not sure about the rules on this forum regarding posting a vendor's email. Send me your email address via PM (click on my name link) and I will give you the address.
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Opinions expressed are solely my own.

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#28910 - 08/23/02 02:56 PM Re: Compliance Auditing
Nanwa Offline
Power Poster
Nanwa
Joined: Oct 2001
Posts: 5,564
Clintonville, WI, USA
I swear by Kirchman's Big Orange Book. The regulations are explained in English, not legalese, and they sometimes include security (audit) procedures. (I hope I put a happy face on this; my eyesight is going, and I can't tell what half of the expressions are on those little yellow guys!)
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#28911 - 08/26/02 05:45 PM Re: Compliance Auditing
Rangers Fan Offline
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Rangers Fan
Joined: Dec 2001
Posts: 345
We use a local company's compliance audit checklists, BOB, the Alex Info and an older publication (not sure if it is out there anymore)-Shesunoff's Compliance Officer's Management Manual. They all have various lists where eventually everything will get covered. We also use the FDIC exam manual for a supplement, if we get bored with the other tools. Okay, that was a joke, sorta. You can LOL now.

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