Internal Audit and Operational Audits

Promote stakeholder confidence by addressing risk with an internal audit. Establish internal control structures, improve your internal audit function, or maintain regulatory compliance to clear a path to achieve your organization’s goals and improve bottom-line results.

We can help you develop a plan based on your institution’s unique risk environment with frequencies tied to the inherent and operating risks associated with your operations.

How We Help

Risk Services

A comprehensive internal audit program can help your organization enhance efficiency, transparency, and safety, while meeting regulatory requirements.

Trough a holistic approach to review your program, we assess:

  • Internal controls
  • The effectiveness of governance
  • Control processes over the organization’s enterprise risk management (ERM) program
  • Internal audit risk assessment and internal audit plan development
  • Enterprise risk management strategies

Operations and Audit Services

Operational audits examine how an organization conducts business—analyzing its processes, procedures, and systems—to find improvement areas to make operations efficient, productive, and effective.

Our operational audits assess:

  • Lending and deposit operations
  • Central and back-office operations
  • Human resources, payroll, and benefits
  • Branch operations
  • Accounting and finance
  • Investment portfolios
  • Asset liability management and interest rate risk (ALM/IRR) reviews
  • Regulatory reporting and quality assurance reviews
  • Risk assessments
  • Model validations

Electronic Banking Services

As the rapid pace of digital transformation and electronic banking evolve so do the nature and scope of its risks.

To protect your organization, we review relevant operating policies and procedures to verify they’re updated for the unique character and principal risks associated with alternative delivery channels, including electronic advertising.

Assessments also review if all applicable policies address any new products, services, or delivery channels impacted by electronic capabilities, as well as policies and procedures governing access to and the disclosure of customers’ confidential information.

We review appropriate operating policies and procedures established to address the following issues for customer activities:

  • Online banking and electronic banking
  • Automated clearing house (ACH)
  • Wire transfer operations
  • Remote deposit capture

Industry Expertise

Matching deep industry experience spanning 35 years with creative strategies uniquely tailored to your organization, our professionals can help with tax, assurance, and consulting solutions while uncovering timely opportunities for growth.

Our professionals are solely dedicated to financial services clients with a deep understanding of common risk areas and best practice recommendations—bringing passion, expertise, and a spirit of active collaboration to each engagement.

We serve more than 2,200 financial services and financial institutions clients nationwide. Our programs are based on in-depth risk evaluation to focus work on areas that represent the greatest exposure and assisting clients in strengthening controls and improving processes.

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