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  • Red Flags and Symitar tracking
    Forum topic

    Hi all,we are trying to decide if we should implement Red Flags tracking in Symitar. I would like to know if you are on Symitar if you are using this feature and if so, what you procedures are. Jill at WSECU has already shared with me their process but I am looking for more info and ammo to get my Risk Department to implement this. It was a recomendation on my Red Flags Audit .thanks,

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  • Whistle Blower Hotline
    Forum topic

    We are currently setting up a whistle blower hotline and have the option of giving it a name.  Some suggestions are Ethicsline, Alertline, etc.  just curious what others are calling their hotlines.  Thanks!

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  • Penetration Testing and ISP Review
    Forum topic

    I am building a list of potential vendors for my annual 3-year RFP for penetration testing and ISP Review. Who do you use and what is your opinion?  Also do you have any experience with any of these vendors?Blu3 TechnologiesTrace SecurityDigital DefenseDell Security WoirksCastleguardGuardian AnalyticsSecurity Complaince AssociatesE-ScopeCU Defense Thanks for your assistance.

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  • Quality Assurance function
    Forum topic

    I've recently inherited an employee who has been our one and only Quality Assurance Specialist for the past couple of years.  For others who have Quality Assurance under their umbrella, would you please share your thoughts on the types of activities you feel belong in the Quality Assurance role?  I'm also interested in how you handle reporting on Quality Assurance reviews.  All input/suggestions are appreciated! 

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  • Reconciliation of Member Statement Run for 100% Negative Confirmation
    Forum topic

    I am interested in knowing what your credit union's process is for your 100% negative confirmation. Do you reconcile your statement run to system reports? Do you change the return address on the envelopes to that of the Supervisory Committee? Do you document all the statements returned and investigate each? Have your examiners ever commented directly on your process? Also, if any XP users would be willing to share the names of the reports that you use to reconcile I would be tremendously appreciative. Thanks!  Sarah Evans, Internal Auditor,  Hoosier Hills CU,  Bedford, IN

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  • Mobile Bankiong
    Forum topic

    We are about to implement mobile banking -- mobile deposits and online deposits with a scanner.  If any of you have already done this, could you please let us know how it has gone for you?  We're having the first three deposits manually reviewed, and individual limits based on their history.  I just wonder what kind of can of worms this is going to open.Thanks,Lori Chase

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  • Employee Credit Reports
    Forum topic

    At the State's constant urging, I do review employee accounts on a periodic basis.  I've even had some reports set up to help identify employees who may be getting in trouble with their accounts.  But these seem to have very little value.  I think that almost without exception, if I had run credit reports on all the employees and compared them to see if they had dropped off significantly, and targetet accounts to review based on that, the ones that have ended up being problems (kiting, theft, etc.) would have appeared on such a list.  Although it seems a little intrusive, I'm already author

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  • Checklist for fraud specialist
    Forum topic

    Hello! We have a fraud specialist that handles unauthorized debit card transactions and disputes and I am looking for a sample checklist or procedures of steps others take in this role.   Thank you for your help!Jeni Head Internal Auditor jhead@linnareacu.org

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  • Potential 'fake' vendor search
    Forum topic

    We recently began a first-time Accounts Payable vendor audit at our credit union, intending to scrutinize the vendor records first for validity and reasonableness (of use, services, purposes, etc.) before doing a separate review of the invoice payment processes.In looking for potential 'fake' vendors, we have scoured the vendor master file looking for unusual or unfamiliar company or organizational names, validated a sample by site visits and phone conversations or comparisons to industry business sources, and compared business addresses to our employee addresses to identify related party v

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  • compensation for referrals
    Forum topic

    HI all,I am in the process of completing a Marketing Audit and have come across an issue that I have never heard of. I am using the NWCUA (League) checklists as a basis for the audit and in the process came across the “Endorsement and Testimonials” requirements. We often do “Friends and Family” marketing campaigns and compensate both the referrer and the referee.How many of you are adhering to the FTC requirement of providing either a written or verbal disclosure for referrals? And if you are doing this how do you document it?

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