Any compliance officers or audit managers out there? I'm looking for samples of written compliance and/or audit programs for comparison purposes. I'd really appreciate any help. Please e-mail at mrathbun@alliedfirst.com
Thanks.

Do you have any specifically that you are looking for? I do both compliance and internal safety/soundness audit. I am also just starting on risk assessment program worksheets. Maybe we can help each other.

Requests and opinions are mine not my employer.

Maria:

I am really just responding to your e-mail in particular. I was wondering if you would be willing to share you risk assessment worksheet? I am assuming that you are referring to Customer Info Security?
Let me know,
Thanks,
Lisa

I would also be interested in seeing what you've done on the risk assessment worksheet.
lbezner@fsbgainesville.com

I am just finishing establishing the worksheets for us to use in the Internet banking program/Info security. Some of the worksheets I took from other programs and some I have created myself from the requirements identified by the agencies.

I would be glad to mail you a copy (not filled in by our assessment). Can you telephone me with your address or post it?

One more thing, maybe we can all consider a way to share various risk assessment worksheets since they take so much time to establish. I have an overall risk assessment model that I will be using with management on their assessment in the future, but it is my belief that each functional area and/or service should have its own risk assessment worksheet that is much more detailed. Maybe I am wrong? Is anyone thinking this way? I also have a regulation risk assessment program that we are just starting to use. My hope is that in a two year time frame, my auditing will be more risk focused and time efficient. I also want to be able to supply management and the audit committee with more meaningful material.



Thanks

Opinions are mine not my employer.

Maria - my address is Lisa Bezner P.O. Box 10 Gainesville, TX 76241-0010

Could you also send me copies of your Risk Assessment worksheets Maria?

Sue Norton, PO Box 940, Damariscotta ME 04543

THANKS

Please add me to the mailing list:

Robert Marx
Wright Express Financial Services
5353 South 960 East, Ste 200
Salt Lake City, UT 84117



Thanks!

Maria - Did you design your regulation risk assessment program or did you find it somewhere?

May I also get a copy of your risk assessment? Thank you.

jbfok@cox.net

I just developed a Risk Assessment worksheet for use in the branches. It covers more mundane stuff such as:
"Does anyone have their password taped on or near the computer?" - stuff like that.

Perhaps this is an area of Bankers Tools where we could post the sheets we develop ourselves.

Please send me a copy
Sheila Oliver, Compliance Analyst
The Golden 1 Credit Union
6507 4th Avenue
Sacramento, CA 95817

I hope these risk assessment worksheets can be posted in bankers tools, but if not could you please send them to me. I would greatly appreciate it

mjennings@borel.com

There is some risk assessment information and matrix in the Tools section. Is this the same as what Maria is sending around?

Bonnie, I would like to see your risk assessment worksheets as well. Could you please send them to usbavp@hotmail.com or fax them to 270-881-9587? Thanks!!

Bonnie, et too brute' Don't spell check that. Requesting your risk assessment worksheets. My fax is 712-722-3819 or e-mail pege@ambankiowa.com. Thanks

NO MORE "Me Toos". Please! I have posted Bonnie's Information Security Access Assessment in Banker Tools under the Compliance category. (Cool tool, Bonnie!)

Earlier this afternoon, as noted in the special Compliance Briefing, we added the Internal Audit Risk Assessment Model. (It's in the Operational Accessories area of Banker Tools.) Thanks, Maria!

Wherever possible, we post these in the Tools section. Where it isn't possible, please use the private email function in this message board to send the user a private request.

From this point forward, all audit-related posts should go in the new audit forum.

I feel like the message board police at the moment.

i am interested in any help ideas and worksheet
programs samples of any kind
just getting started.

Have you reviewed the Bankers Tools section on here? Also some of the worksheets I am developing I get ideas from the website www.auditnet.com A friend I met at a conference told me about the website. It has been very helpful. But when you have specific needs, post it, usually someone will share one with you, if they have it.

Hope this helps.

Maria,

Please send me a copy too! THis is something I have been trying to get started.
bwilliams@austinbank.com

Thanks!

Does anyone out there have a good audit program for reviewing debit cards? The BAIM doesn't have a lot about them. I've also gone to the AuditNet exchange program. They have one, but I'm looking to improve on it.

Thanks.

Bonnie,
Please e-mail your risk assessment worksheets to me at
whitehum@peoplesfirst.com. Thank you!

Bonnie's 18 documents are already downloadable at the Tools page, http://www.bankersonline.com/tools/tools_compliance.html#15

Could you send me a copy of your risk assessment worksheet, maria?

Judy W Wilhoit
P O Box 919
Harlan, Ky 40831

Andy - thanks for the props, but I cannot take credit for those 18 Risk assessment worksheets. My Information Security Assessment is a little higher up on the page, under the "I"'s.

Anonymous,

I have a program from Alex Information on CD that is called "Regulatory Compliance Audit Program" that I use and I think it is wonderful. Our regulators (OCC) thought it to be exceptional.

I have a Risk Assessment spreadsheet that has just been approved by the OCC for IT. I would be willing to share. Let me know. Also, can I have a copy of your worksheet, please?