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#50281 - 12/20/02 10:49 PM Auditing manuals

What types of internal auditing manuals does anyone recommend? I do not have internet capabilities on the PC in my office, so it would have to be via a CD or hard copy. I'm specifically looking for a manual that has audit programs for all areas of a bank/savings & loan, including sample tests, checklists and questionnaires. I'm also looking for manuals covering the audit of internal controls over financial reporting and regulatory compliance...essentially everything. Any suggestions would be greatly appreciated. Because I'm having an EXTREMELY hard time convincing the audit committee to pay for these costs, I am looking for manuals that are under $500 per year.

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#50282 - 12/20/02 11:21 PM Re: Auditing manuals

I use the Warren, Gorham & Lamont manual entitled Bank Internal Auditing Manual. You can get it from RIA, Customer Service Department, 117 E. Stevens Avenue, Valhalla, NY 10595-1264. The phone number to place an order is 1-800-950-1216. It covers most areas that I need to look at, and is pretty thorough. It comes as a hard copy and a set of disks for the computer, is periodically updated, and should be in your price range. In addition to it, I also use the OCC Examiners Handbook and the Compliance Manual.

Good Luck!

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#50283 - 12/22/02 09:06 AM Re: Auditing manuals
Deepa C Offline
Junior Member
Deepa C
Joined: Dec 2002
Posts: 27
Dubai, UAE
I also suggest that you go through the Tools Section of the Bankers Online website. There are several worksheets that might help you.

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#50284 - 12/23/02 03:56 PM Re: Auditing manuals
DawgFan Offline
Diamond Poster
Joined: Jul 2002
Posts: 1,678
United States
Anon, I also use the Bank Internal Auditing Manual. Apparently, you appear to be able to browse the net from home, so try sometime. There are some banking related audit resources there as well. Good Luck!
Opinions expressed are solely my own.

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#50285 - 12/24/02 04:20 PM Re: Auditing manuals
Countess Kiwi Offline
Diamond Poster
Joined: Jun 2002
Posts: 1,815
Sheshunoff also has a Bank Internal Audit manual that has checklists and programs for regulatory compliance. I also use the FMS Internal Audit Desk Reference as well as the OTS handbooks...if you are a savings bank.
Do what you can, with what you have, where you are.
~Theodore Roosevelt~

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#50286 - 12/24/02 08:54 PM Re: Auditing manuals
cbinder63 Offline

Platinum Poster
Joined: Dec 2001
Posts: 674
Alexinformation has the Regulatory Compliance Audit Program.
Opinions expressed are my own.

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#50287 - 12/26/02 06:52 PM Re: Auditing manuals
DeeQ Offline
10K Club
Joined: Dec 2002
Posts: 40,746
Turnpike Exit 10
Kirchman puts out a regulatory compliance manual with checklists, etc. And, it's free.
You can probably save it off from your home PC and bring it to work on disk.
Good luck. Kirchman
Get your facts first, then you can distort them as you please. - Mark Twain

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