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#769358 - 07/06/07 02:03 PM New internal auditor needs HELP!!
lakesider Offline
Member
Joined: Mar 2001
Posts: 73
bixby, OK
I have just been appointed internal auditor (I was compliance auditor). Can someone get me some ideas on setting up an internal audit program so I don't miss any critical areas?? Or share your own program??

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Audit
#769601 - 07/06/07 03:53 PM Re: New internal auditor needs HELP!! lakesider
Auditjg Offline
Member
Auditjg
Joined: Sep 2004
Posts: 67
I use the RIA Thompson manual online. You can get either a hard copy or online version. It's relatively inexpensive (around $500 or so). I know Shesnauf also has one you can look into. That's where I'd start if I were you. Below is the link to the RIA manual for internal audit. I'd be happy to share any risk assessments too. Just PM me. Thanks!

http://ria.thomson.com/eStore/detail.aspx?ID=BIAM

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#770227 - 07/06/07 11:39 PM Re: New internal auditor needs HELP!! Auditjg
auditoresq Offline
New Poster
Joined: Jul 2007
Posts: 6
CA USA
Congrats debbie. As a new BSA senior auditor, I used the FFIEC manual as baseline, and appendix J & M, to set up framework. You might check your regulator website for examiners' "expectations".
_________________________
Jimmeny Cricket

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#770712 - 07/09/07 07:03 PM Re: New internal auditor needs HELP!! auditoresq
lakesider Offline
Member
Joined: Mar 2001
Posts: 73
bixby, OK
Thanks for the suggestions

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#777141 - 07/17/07 11:55 PM Re: New internal auditor needs HELP!! lakesider
Rosie O'Grady Offline
Gold Star
Rosie O'Grady
Joined: Nov 2005
Posts: 438
California
Be sure to define your charter first and foremost....

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#777341 - 07/18/07 02:09 PM Re: New internal auditor needs HELP!! lakesider
rexinaudit Offline
Gold Star
rexinaudit
Joined: Dec 2001
Posts: 292
New England
Financial Managers Society has a good resource on CD-ROM, Financial Institutions Internal Audit Desk Reference, 2nd ed. You can see details on their website: https://www.fmsinc.org/cms/?pid=1468. They also offer seminars and webinars.

Check out the Institute of Internal Auditors and join the local chapter for your area. www. theiia.org. They have some free resources on the website and others for sale. The Audit Charters are helpful. The IIA has a special membership section for auditors in the financial services industry with dedicated newsletter and annual conference, which are both helpful.
_________________________
My opinions are not legal advice, not my employer's, and may change anytime.

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