I am looking for recommendations for Auditing Software.
Does your credit union conduct closed account reviews or send out confirmation letters?
If you send out letters, do you exclude any of the following situations:
· Accounts closed by the system due to inactivity fees vs. an employee closing them
Does anyone have off-duty Security officers at your credit union on a regular basis?
Our credit union has security officers every Friday and Saturday.
Thanks.
Lynda Eveslage
Park Community Federal Credit Union
(502) 815-1109
I am looking for examples of internal audit staff member, ie. internal audit associate, internal audit assistant, internal audit clerk, etc.
Thanks,
Dale Beard
I'm wondering how others handle individual information security breaches. I am only referring to breaches that are done by staff accidentally where only one or two members information was breached. For example, if a loan processor accidentally sends out loan documents containing confidential information to another member. Do you have a policy or procedure regarding disciplinary action and what is expected as to the managers response? Any feedback would be appreciated.
Our branches have coin machines that member's use to deposit coin directly into their account. Do these machines require the NCUA Insurance sign?
As many of you are I am currently working on my audit plan for next year. If any of you would be willing to send me a copy of your risk assessment or internal audit plan for this year or next year so I can get new ideas please send it to c.heffernan@summitcu.com.
Carol Heffernan
Summit Credit Union
Greensboro, North Carolina
As with many CUs, we require employees to take a consecutive 5-day vacaction at least once each calendar year as a control against fraud. I have had many managers ask me recently if there are any specific things they should be looking for while the employee is out on vacation. Do your CUs have any policies or procedures around this (such as cash drawer audits, loan audits, desk audits, etc.)?
Does your Ethics Policy include the Bank Bribery and Conflicts of Interest or it is a seperate policy?
Also, how often do you have the credit union officials review the policy? Annual, when changes or made
or one time at hire date.
Thanks
Lynda Eveslage
I am wondering if anyone audits the area of business continuity or disaster recovery. If so, are you willing to share your audit program? I am looking for something that is geared more towards enterprise-wide recovery versus only the IT side. I was only able to find disaster recovery as part of the data processing audit program in the ACUARP audit guide. Thanks in advance!
