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Supervisory Committee Exam

 

Supervisory Committee Exams meet the NCUA requirement Part 715 Appendix A and Section 715.7 Other Supervisory Committee Audit of the NCUA Rules and Regulations. These procedures became effective for all Supervisory Committee Exams occurring after March 31, 2020.

 

Additional procedures can be performed in accordance with a clients needs.


Bank Secrecy Act / Anti-Money Laundering Compliance

 

Bank Secrecy Act examinations focus on identifying risks, monitoring programs, and training for both employees and officials.

 

Utilizing the FFIEC's examinations manual for BSA and OFAC examinations, we review institution policies, training, risk profiles, and procedures. The results are complied into a report with recommendations for improved controls and efficiencies.



ACH Compliance
 
The National Automated Clearing House Association (NACHA) requires any financial institution that originates or receives ACH transactions to have an ACH Exam performed annual.
Following the procedures in the ACH Rules, we review ACH operations, administrative controls, internal operating controls, and quality assurance.

Internal Auditing Services
 
What do you do when you institution  reaches the point that you need to add an internal auditor but can't afford another full-time employee?
Our staff can tailor an internal audit program to your financial institution's needs and budget based on a monthly, bi-monthly, or quarterly basis.
  • Internal Control Evaluation
  • Supervisory Override Review
  • Policies & Procedures Review
  • Fixed Asset Inventories
  • Business Continuity Review
We provide an affordable way for the small to medium sized financial institution to monitor internal controls by outsourcing the internal audit function.