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Lexis Nexis Bank Internal Control Manual
Internal controls should provide reasonable assurance that assets are safeguarded, information is timely and reliable, and errors and irregularities are discovered and promptly corrected. Bank Internal Control Manual is a step-by-step, easy-to-understand manual providing tools at your fingertips to ensure your bank's internal controls are strong and effective. Sample internal controls, organized by function, for every key of the financial institution are included.
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LexisNexis Sheshunoff
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This manual includes selected materials to assist your organization in addressing various aspects of corporate governance, specifically with respect to the implementation and monitoring of internal controls to address controls environment elements. Outsourcing and overriding internal controls are areas of concern that are addressed.
From credit risk to integrated financial software systems, the manual contains sample internal controls tools for every key area of the financial institution: checklists, examples of documentation, and clear guidelines you can use for internal control checklists for your own operation. Topics such as credit scoring processes and automated clearing house activities are also areas of risk focus. Whether due to inadvertent mistakes or collusion to circumvent controls, regulators continue to request that financial institutions evaluate controls and procedures in the operational areas.
Subscribers will receive a downloadable file containing editable forms
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Featured Authors
Charles H. Le Grand
Charles H. Le Grand
Charles H. Le Grand, CIA, CISA, CDP, is CEO of CHL Global Associates, LLC, (http://www.chlga.com, https://www.linkedin.com/in/charles-le-grand-680900) and an active consultant, author, and public speaker. Prior to forming CHL Global Associates in 2005, Le Grand directed The Institute of Internal Auditors Research Foundation in producing the landmark Systems Auditability and Control (SAC) reports. Le Grand has over 30 years' experience dealing with security, reliability, auditability, compliance, risk, assurance, and governance matters in information and related technologies. He has served in various management positions and IT roles ranging from programmer/analyst, to IT auditor, to Bank IT Auditing Officer, to CIO. He produced board-level guidance on information security for the U.S. Critical Infrastructure Assurance Office (now part of the Department of Homeland Security), and helped develop information security metrics for a subcommittee of the U.S. House of Representatives. Le Grand provided expert testimony to the U.S. President's Commission on Critical Infrastructure Protection (during the administration of President William J. Clinton). He served on the board of directors of the Partnership for Critical Infrastructure Security, the Executive Committee of the Generally Accepted Information Security Principles Committee, the Advanced Technology Committee of The Institute of Internal Auditors, and was a member of the Center for Continuous Auditing. He was co-leader of a team that developed "Information Security Program Elements" and "Information Security Metrics" for the Corporate Information Security Working Group. He developed a control system for an advanced analytics and reporting data mart for a large financial firm. He served in an advisory capacity to the U.S. President's National Infrastructure Advisory Council, and the American Bar Association's Information Security Committee. Le Grand also served on the international headquarters staff of The Institute of Internal Auditors, Inc. He earned a bachelor degree from Auburn University School of Engineering, is a Certified Internal Auditor, a Certified Information Systems Auditor, and earned the Basic and Standard certificates from the American Institute of Banking.
Table of contents
Volume 1
Chapter 1 Getting Started
Chapter 2 Internal Controls and Their Basic Objectives
Chapter 3 Designing Internal Control Systems
Chapter 4 Managing the Internal Control Process: Developing and Maintaining a Formal Internal Control Environment
Chapter 5 Monitoring Internal Controls
Chapter 6 [Reserved]
Chapter 7 Examination of Internal Controls by Independent Third Parties
Chapter 8 Planning for the Future
Chapter 9 Outsourcing and Internal Control Considerations
Appendix Regulatory Issuances
Volume 2: Internal Control Checklists
Executive
Lending
Treasury/Finance
Trust
International Banking
Operations
Data Processing
