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#711695 - 04/05/07 12:01 PM Compliance Risk Assessment
petcat Offline
Junior Member
Joined: Apr 2007
Posts: 28
Tennessee
I am totally new to compliance. I worked mostly in operations for several years. I am now responsible for all compliance audits. I would love any info on where to find ideas about auditing. I not sure how to even start. I have also been asked to risk my audits and don't have any idea what to do. Any suggestions would be appreciated. I have also been asked about an audit committee charter and can't find one. Any ideas on how to write a charter? It would be great if anyone could recommend a good book or website to help me get started.

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Audit
#711697 - 04/05/07 12:19 PM Re: Compliance Risk Assessment petcat
blue Offline
Platinum Poster
Joined: Jul 2005
Posts: 793
Go to: http://www.theiia.org. That's the website for the Institutue of Internal Auditors. You will find a sample charter there. I also saw an offering on BOL regarding auditing deposit accounts that looked like the administrative topics (sample size, etc.) could be employed in many types of audits.
Are you only looking at consumer compliance or all compliance, e.g. FMLA, OSHA, Visa? Knowing that should help us respond.

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#711813 - 04/05/07 02:28 PM Re: Compliance Risk Assessment blue
petcat Offline
Junior Member
Joined: Apr 2007
Posts: 28
Tennessee
Only Consumer Compliance

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#711979 - 04/05/07 04:49 PM Re: Compliance Risk Assessment petcat
Ready to Retire Offline
Diamond Poster
Joined: Aug 2005
Posts: 2,313
Living in the land of Oz
PM me with your e-mail address and I will send you our Audit Charter. Do you have an in-house auditing department or you going to be resposible for all audits. If you have an in-house audit department they should already have a charter.

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#713262 - 04/09/07 11:53 AM Re: Compliance Risk Assessment Ready to Retire
Retired DQ Offline
10K Club
Retired DQ
Joined: Dec 2002
Posts: 40,766
Turnpike Exit 10
petcat, PM me your email address, Ihave some stuff that I can share with you.
_________________________
Get your facts first, then you can distort them as you please. - Mark Twain

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#713418 - 04/09/07 04:25 PM Re: Compliance Risk Assessment Retired DQ
LauraL Offline
Gold Star
Joined: Jun 2005
Posts: 365
Georgia
I didn't realize this was a double post - I responded to your other posting petcat, but my advice is the same as here.

Good luck!
_________________________
"I'd rather be running a marathon than doing compliance!"

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