dear Auditors,

anyone can help with the below, i would be much grateful :

1) steps to preparing procedures for a certain department or a certain function?

2) how to prepare an effective annual compliance plan ?

3)if you can provide a compliance check list !

regards

NewO, I replied to your PM earlier. I would start by looking at your regulator's handbooks and their audit checklists to beging with.

Information Mapping (www.infomap.com) offers tools and training on how to write policy/procedure once you have determined. They can't help on the compliance plan or compliance check list, but once you have those their tools for P&P creation are quite good.

Sounds like you are starting from scratch! You might consider something like Walter Kluwers, Pringle Policy and Procedure Program. It gives you Policies, Auditing Procedures and guidelines etc.

Otherwise you won't be seeing your family until sometime next summer!