Audit Staff numbers

We are a $500 million dollar holding company with 2 banks. We have one compliance officer (me), one internal auditor, one internal audit assistance, and one security officer.

We are a 400 million dollar community bank with 10 branches. We process data in-house. We have a full-time compliance officer with a full-time asssitant, a full-time auditor with full-time assistant, and a security officer who also has other duties. We engage consultants for commercial loan review since we have a large commercial portfolio.

over 900 million and 40 branches. We have 3 auditors but we aren't at the same location. Spread out to help cover the entire bank.

Over 200 million and 39 branches. We are in total 15 auditors, including IT. Do you think that we are too many ??

You're kidding, right?

Just over 345 million with 11 physical branches & audit staff of 2.

We're about $160 mill. I have one full time assitant with little experience. Our department handles internal audit, compliance, loan review, internal consulting, fraud investigations, and filing SARs. I know that I am lucky to have an assitant but . . . we are still swamped.

We are 155MM and I am the Internal Auditor/Compliance Officer.

We are a $500 million bank and I am the lone control/compliance/IT auditor and we have 1 person who is compliance officer/security officer/about 5 other titles

The bank I work for is approximately $100 million. I am responsible for Auditing/Compliance/Loan Review

We are a $500 million org and have 1 Compliance Officer/Internal Auditor (supervisor of department), I am an Internal Auditor, and we have 1 Quality Control Auditor. My job was created due to the last exam report, it wasn't what they wanted to do.

We are over $6OO mil. We used to have an audit director, a staff auditor and audit assistant. Now we outsourced IA and have compliance officer, outsourced loan review, a risk officer and we picked up in house legal counsel.

we are close to 500mil with one auditor, one assistant, and the feds "want" us to hire another. do any of you run into this with the feds?
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That's why I was initially hired. There was one Audit Director and one assistant. I think they pushed for a CPA, too.

We're $700 million, 10 branches. I'm the audit manager and have a staff of 2 auditors. We also have 2 compliance officers (deposit & loans), two compliance assistants, and 2 security officers.

We're $120 million with one internal auditor, one compliance officer (me), and one "assistant" that was just assigned to me. Actually, I think we're overstaffed, as the assistant has yet to actually perform any compliance duties.

We are a $250 million bank. One CIA, an Assistant (me) and one Compliance Officer....which we are trying to figure out what he does all day because he isn't helping us out!

$500MM+ w/11 locations. One auditor and one assistant auditor. Part time compliance officer with one full time assistant; however, we use a compliance committee comprised of representatives of each functional area in order to push the responsibility closer to the day to day activities.

Some observations from when I was an examiner...We would normally see the compliance / audit functions combined for banks under $100MM. Somewhere between $100MM and $250MM we would see these functions split. Somewhere between $250MM and $500MM an assistant was normally thrown into the mix, both audit and compliance.

Of course, more than asset size, you have to look at number of branches; number and type of subsidiaries; type of activities, which will impact your scope (i.e. in-house data processing, network, internet banking, trust department, nondeposit investment sales, etc.); how much is outsourced; is internal audit involved with reviewing activities such as macro risks (i.e. interest rate risk management, liquidity management, credit risk and loan portfolio management, etc.); etc.

Risk officer,

Thank you for the observations from your examiner experience.


Note to other present or former examiners, your experiences and observations will be helpful as well. Please add your replies.