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  • IA to Quality Control
    Forum topic

    We do not have an Internal Audit Charter. There are two of us in the department. I would like to draft a charter and submit for approval. However, it appears as if they would like to make one of us quality control. This I believe is so that we (one of us) is able to make corrections and findings are not necessarily reported to the Audit Committee. Can senior management change one of us from IA to Quality Control? Thanks in advance.

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  • Foreclosure audit program
    Forum topic

    Is anyone hiring an outside firm to audit their foreclosure process?  NCUA was asking us in our recent exam the past two weeks of what third party we were using to audit this.  Is anyone auditing this internally rather than hiring it out and do you have an audit program you would be willing to share.

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  • 2012 Annual Conference
    Forum topic

    My human resources department is asking for a conference schedule with days, times and session descriptions for the Denver conference. I have looked through the website and have not been able to find anything like that. I do see it for previous years, but not for 2012. She needs more than just the listing of available sessions that is on the registration form. Can anyone email that directly to me? Thank you so much!Julie Strayer, CUCEReliant Federal Credit Unionjulies@reliantfcu.com

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  • COLI - Company Owned Life Insurance
    Forum topic

    Has anyone ever audited a COLI (Company Owned Life Insurance Plan) that your institution has invested in? I have one at my CU and our external auditor would like me to try to audit. Any suggestions? If anyone has audited, you can contact me via email at mswaney@eriefcu.org.
    Thank you!!

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  • Social Media
    Forum topic

    Does anyone have an example of a social media policy that they would be willing to share?  If so, please email me at jennifer.theroux@pcu.orgThanks!

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  • Repossession Audit
    Forum topic

    Good morning. We are going to start doing an audit in our collections department. We would like to break it down in sections. We are going to start with Repossessions and then move on to Foreclosures/OREOs. Is anyone willing to share an audit program that is broken down? Thanks in advance. Beronica.Noriega@R1CU.Org

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  • MBL Quality Control
    Forum topic

    Currently, we have our examiners in. I review the MBL loans from an audit perspective. I do not analyze credit risk as I do not feel capable (trained) as such. The examiner asked if we had Quality Control Procedure that indicates how many loans we are going to look at and what the scope is going to be. The examiners would like me to review these loans from a quality control stand point.

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  • Vendor managment audit
    Forum topic

    Hi all,I am wondering about the sample size that you use when auditing Vendor Managment. Do you look across all risk levels or mostly concentrate on Level 1 and 2 vendors. I don't want to get too bogged down in this area as it is my first time out.

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  • Record Retention - Electronic Media
    Forum topic

    Hi folks, my CU is trying to develop a record retention schedule for the following electronic records:  emails, event logs for accessing networks servers & the like, backups, internet logs and member chat logs.  NCUA Part 749 does not list these records as vital and the great state of NH does not have a required retention period from what I can tell.  Can you advise how long you keep each type of media & if you determined this by your state's law or by other means (i.e. for litigation reasons)?  I really do appreciate any information you can provide.  Thanks~Ana

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  • Opening an account for a minor child
    Forum topic

    We allow parents to open accounts for their children, the child is the primary owner with the parent(s) as joint owners.  The accounts are just savings or certificates.  My question is how do others handle the paperwork? Do you leave the signature line empty until the child reaches an age to actually sign the membership application? Thanks

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