For our management committee meeting they want me, the internal auditor to prepare a brief report of each area I audit. The form needs to state: Audit overview, Audit findings and Audit recommendations. I am having trouble coming up with a brief overview of these areas. Does anyone have a similar manner of reporting and what is included in "overview"?

I would maybe include the purpose of the audit and the scope of your audit. We break our reports into: Purpose, Scope, Opinion, Business Issues and Management Action Plan.

objectives and scope, findings, recommendations, any other comments

My report is broken down like this:

Objective and Scope
Findings
Recommendations
Management's response

Do you have any suggestions on where to go to workpaper and forms for compliance auditing?

Have you looked at your regulators exam procedures? If you are regulated by the OTS, click here and look at the OTS Examinations Handbook. Click on the links to access the compliance sections 1100, 1200, 1300, 1400, and 1500.

You might also want to look into the Compliance Auditing webinar that Andy Z is presenting on 10/27. http://calendar.bollearningconnect.com/main.php?view=event&eventid=1125429608633

In fact I will address this. Thanks, Reg. Reader.

The board should get the 50,000 foot view. They don't normally need minutiae but need upper level facts. Some in senior management may be responsible for the response and they should have the details. The idea here is to write succinctly for the overview, and detailed for the report. Let there be no doubts about the findings.

I also like to denote repeat violations, causes and solutions.

I invite you to take a look at the link above (and as I write this, to the left, on your screen). Remember that you can submit questions in advance. All questions will be answered, in writing. And with a BOL Learning Connect webinar you can listen to the live broadcast and then again and again for 30 days, as often as you want. This is great when you can't get everyone together for one of your listening sessions.