Our Services

  • Our services include outsourced internal audit, regulatory compliance audit, IT audit and consulting, training and general related consulting services. Our specialty is financial institutions.

  • Our Mission is to Ensure a Value Added Relationship

  • Our Goal is to be Viewed as an Extension of Management

  • Despite Partnering with Management, We Ensure Absolute Independence and Objectivity

  • We Recognize the Uniqueness of Each Client

  • Our Services are Tailored to Individual Client Risk and Circumstances

  • Audit Programs are Broad Based-Focus on Process & Controls

  • Our Auditors Respond to Individual Client Uniqueness

  • Our Services Go Well Beyond Those Detailed in the Audit Plan

 

Our Approach

 

  • Our Approach is Designed to be Efficient and Effective

  • Scheduling is Completed in Advance as Preferred by Clients

  • Materials Requested in Advance to Ensure Efficiency

  • Up Front Meetings at Beginning of the Audit to Ensure Good Communication

  • Goal is to Ensure that Audits Don’t Drain Daily Client Operations

  • Closing Meeting at the End of All Audits to Ensure Understanding and Discuss Results

  • Electronic Sharing of Documents on Client Service Portal to Ensure Efficiency

  • Total Approach is Customizable to Client Needs and Preferences

  • “Best Practices” for the Industry are Shared On-going

 

Report Format

 

  • Two Levels of Issues-Report and Management

  • Format Includes a Scope, Risk of the Area, an Overall Assessment, Discussion of Issues, and Other Areas with No Issues

  • Standard Format Adjusted for Client Preferences

  • Goal is to Tailor to Members of the Audit Committee

 

Proposal/Audit Plan

 

  • Based on a Preliminary Risk Assessment

  • Would be Adjusted Based on Refinement of Risks

  • Assurance of Knowledge of Auditable Areas

  • Past Audit and Exam Results Factored into Risk Assessment and Audit Schedule

  • Management/Audit Committee Concerns Factored into Planning

  • Initiatives of the Client Incorporated in Audit Plan

  • Final Review and Approval of Audit Committee is Assured

  • Plan and Process Customizable to Client Preferences

 

Information Technology

 

  • Technology Infrastructure Controls Review

  • External Network Penetration Testing and Web App Testing

  • Internal Network Scanning and Vulnerability Assessments

  • Social Engineering Testing (Electronic, Phone, and Onsite)

  • Remote Vulnerability Assessment Scanning

  • Banking Application Technology Control Review