I am the Compliance Officer for our institution and I have been approached to find the Internal Control Officer some audit procedures to use for her audits. I use Pringle for mine. Does anyone have any ideas? I am open to all suggestions. Thanks.

I got some of mine from ICBA's Internal Audit books. You can get some things on Auditnet.org. Also, your regulators examination books.

Thanks for your help Spin. I will definately be looking into those.

Thompson Financial publishers has a nice on-line product called RIA-Checkpoint. It has good audit programs and internal control questionnaires.

I second all of the above. I found different ones helped better with some audits than others.

Regulatory handbooks are the best resource to start with. Sheshunoff also has some decent material.

Be careful though, once they start sending you things it is darn near IMPOSSIBLE to get them to stop. We have called, sent letters, etc., and still they come

We also use Pringle. Just this year we decided to go on-line and download our regulators compliance handbook. It is turning out ok. Our regulators will be visiting us this September so I feel really confident knowing exactly what they will be looking for and understand what they are asking for. Being a compliance newbie I have found that I am actually learning something and liking it.

I was told by Sheshunoff that, to put me on a do not call or do not mail list, the bank president had to send them a letter. This is after being told several times that I would be put on a do not call list.

I use the ICBA manuals and exam manuals from our regulator.

I also use our regulators exam procedures. I want to know what they'll be looking for when they come in and look at the same things during my reviews. It's worked in my last bank (OCC regulated) and this bank (OTS regulated).

I don't download the manual. I print the regulator's procedures and put them with my workpapers. I want to know that I'm using current procedures and not something that's stale due to an update. This also lets the examiners know what version of their procedures I used.