Doing an informal survey and I am just curious as to how many other Banks combine their audit and compliance functions. Not necessarily operationally per say, but more structurally - like you have the audit/compliance department...

I am curious as to your asset sizes and if these functions are combined at your Bank. Thanks!

100M FI, my official title is Audit/Compliance (romantic, isn't it)

$140M FI, I am the Compliance Officer and Internal Auditor.

oops I forgot, would you tell me who your regulator(s) is(are) too?

Same here, although they also just hired a risk management guru that will be sharing the audit part with me.
We're FDIC regulated.

FDIC
$290M
I am the Internal Auditor, Compliance Officer, and CRA Officer (VP-Internal Audit/Compliance). I do have an assistant though!

Current world:just under $400; Fed regulated
Separate compliance and audit. Compliance officer has CRA as well.

For those of you that combo it - - - how do you audit the compliance?????? (Sorry to add more questions.....)

Recent Prior Life was $750; OTS regulated
Audit and Compliance were separate people that answered to the same VP. Our CompOff did the reg audits and the auditor verified that it was done.

OTS
$2 B
3 IA's
1 ComplianceOff

OTS 520 million
separate fundtions
4 IA does safety and soundness audits
1 CO who does compliance audits. A compliance committee is responsible for day to day compliance.

FDIC
$500 million
1 CO/1 IA
External Auditor does regulatory audit

FDIC
$500 million
I'm it - Internal Auditor/Compliance Officer

Consultant audits compliance for me

FDIC
$600 million

1 AVP Compliance with 1 Comp. Auditor
1 AVP Internal Audit (Safety and Soundness)

FDIC
$250 million
1 VP Compliance/BSA/CRA
1 VP Internal Audit

FDIC
$160 million
1 SVP Compliance/Internal Audit

OTS
$250 Million

BSA/Risk Manager
Compliance Manager
Compliance Specialist

OTS

$65 Million

I'm it at well "VP, Internal Audit/Compliance"

OCC
$550 million

At the holding company level we have:
Internal Auditor
Chief Credit Officer (loan review and ALLL)
Compliance Officer (consulting and compliance audits)

At bank level we have:
BSA/Security Officer
Compliance Committee (responsible for ongoing compliance issues)

FDIC 660m
1 Internal Auditor
1 Compliance Officer

OTS
$4 Billion
1 Audit Officer with 5 senior auditors (They do regular audits and compliance audits.)

1 Compliance Officer with one compliance analyst (Review new products and services, disseminate information on new laws or regulations and changes to existing laws and regulations, also responsible for Freddie Mac Quality Control reviews.)

Audit, Compliance, Appraisal, and Internal Loan Review report to the SVP, Risk Management. The four areas report quarterly to the Audit Committee of the Board of Directors.

OTS $180 million

I am it- Compliance, Audit, BSA Officer and Security Officer.

FDIC
$145M
1 Internal Audit
1 Compliance officer

We have a new president and he wants to combine the two and make as one, I have been IT supervisor for the last 18 years, so I have been given the prestigious honor of accepting this new position. The other 2 that had the jobs are going into another newly created department of Accounting/financing. We are anxious to see how this all plays out.

FDIC
$620 million
1 CO, 1 IA, 1 IA asst, 1/2 compliance asst
One department-Risk Management
Reporting to SVP-Risk Mgmt

OCC
400 million
1 Compliance Officer
Outsourced internal audit

We were combined until about a year ago but separated compliance out to the Risk Management Department.

Federal Reserve
1.4 billion holding company - 4 bank charters, 1 credit card company, and 1 leasing company
IA Department
1 - SVP Director of Audit
1 - AVP Loan Review Manager
1 - Loan Rview Officer
1 - AVP Internal Audit Manager
2 - Internal Auditors
1 - Compliance Auditor

Risk Management Department, which is separate
1 - VP Risk Management
1 - SOX Specialist/Auditor
1 - AVP Compliance Officer
1 - Compliance Assistant