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#290072 - 12/16/04 09:06 PM I'm new to Compliance Auditing...
Anonymous
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& as such, I'm curious about finding resources for detailed, step by step, auditing procedures & guidelines. I've found (& used) some wonderful sources like BOL & FDIC (my regulatory agency), but what other avenues are available(especially those without a fee)?

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#290073 - 12/17/04 12:40 PM Re: I'm new to Compliance Auditing...
DeeQ Offline
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DeeQ
Joined: Dec 2002
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Turnpike Exit 10
You could check out www.auditnet.org
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#290074 - 12/20/04 05:09 PM Re: I'm new to Compliance Auditing...
Anonymous
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OCC has lots of handbooks on their website.

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#290075 - 12/31/04 07:21 PM Re: I'm new to Compliance Auditing...
EdOils Offline
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Louisiana
There are several compliance audit related manuals, but they aren't free. I use the one from the ABA. I think Kirchman has one also.
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#290076 - 01/05/05 11:09 PM Re: I'm new to Compliance Auditing...
AuditBuff Offline
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AuditBuff
Joined: Jan 2005
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This is my first post to the forum, and definitely not my last.

I'd like to point out COBIT. We sometimes use it as a standard for our IT security assessments on banks and credit unions. It is internationally accepted and is very popular among fellow auditors. Here is a link with some more information. COBIT
They offer much of their information for free, so keep an eye out.
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#290077 - 01/05/05 11:15 PM Re: I'm new to Compliance Auditing...
M Cockrell Offline
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M Cockrell
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Dallas, TX
do they do more than IT?
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#290078 - 01/05/05 11:32 PM Re: I'm new to Compliance Auditing...
AuditBuff Offline
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AuditBuff
Joined: Jan 2005
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Santa Barbara, CA
Quote:

do they do more than IT?




Short answer no. This comes from their site, "COBIT has been developed as a generally applicable and accepted standard for good Information Technology (IT) security and control practices that provides a reference framework for management, users, and IS audit, control and security practitioners."

Basically they provide guidelines for users to perform IT assessments. We sometimes use their guidelines when auditing a bank's network.
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#290079 - 01/06/05 04:07 PM Re: I'm new to Compliance Auditing...
J2C Offline
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Posts: 1,475
Big Brother knows and that's a...
Try using your regulators examination procedures. We use the OCC's.
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#290080 - 01/06/05 04:32 PM Re: I'm new to Compliance Auditing...
M Cockrell Offline
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M Cockrell
Joined: Jan 2003
Posts: 1,029
Dallas, TX
I do & have, but unfortunately, there are some areas where guidance is non-existent or severely lacking.
Last edited by M Cockrell; 01/06/05 04:35 PM.
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#290081 - 01/06/05 08:47 PM Re: I'm new to Compliance Auditing...
Andy_Z Offline
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In some cases you look to your regulator, the FFIEC, other regulators, and your peers (often you'll find something shared in the Banker Tools) or references to other audit sites.
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