AuditOne LLC
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    • Home
    • About
      • ABOUT US
      • WHY CHOOSE US
      • MANAGEMENT
      • WORLD CLASS STAFF
    • Services
      • SERVICES
      • COMPLIANCE
      • BSA AML
      • OPS ADMIN ACH EFT
      • INFORMATION SECURITY
      • ASSET LIABILITY MGMT
      • CREDIT REVIEW SBA
      • SOX AND FDICIA TESTING
      • RISK MANAGEMENT
    • Testimonials
    • News
      • NEWSLETTERS
      • NEWSLETTER SIGN UP
      • AUDITONE WEBINARS
      • COVID-19 INFORMATION
    • Security
      • SECURITY
      • BOX ENTERPRISE GUIDE
      • REMOTE AUDIT TOOLS
    • Contact Us

  • Home
  • About
    • ABOUT US
    • WHY CHOOSE US
    • MANAGEMENT
    • WORLD CLASS STAFF
  • Services
    • SERVICES
    • COMPLIANCE
    • BSA AML
    • OPS ADMIN ACH EFT
    • INFORMATION SECURITY
    • ASSET LIABILITY MGMT
    • CREDIT REVIEW SBA
    • SOX AND FDICIA TESTING
    • RISK MANAGEMENT
  • Testimonials
  • News
    • NEWSLETTERS
    • NEWSLETTER SIGN UP
    • AUDITONE WEBINARS
    • COVID-19 INFORMATION
  • Security
    • SECURITY
    • BOX ENTERPRISE GUIDE
    • REMOTE AUDIT TOOLS
  • Contact Us

Operations/Admin/ACH/EFT

We have expertise in all operational and administrative aspects of banking, including Deposit Operations, Cash Management / Electronic Funds Transfer, Loan Operations, Finance & Administration, and Human Resources & Payroll. The audit scope is customized to your organization's structure, systems, staffing, and other aspects of your institution’s risk profile. Some examples of typical audit scope items are as follows:


FINANCE & ADMINISTRATION 

David Kellerman, ALM Practice Director


  • Accounts Payable
  • Correspondent Accounts
  • G/L Entries
  • Official Checks
  • Regulatory Reporting
  • Fixed Assets
  • Centralized Certifications
  • Prepaids and Accruals


HUMAN RESOURCES & PAYROLL

David Kellerman, ALM Practice Director


  • Payroll Reconcilement/Settlement to the General Ledger
  • Payroll Input Process
  • Salary Change Authorizations
  • Payroll Deductions
  • Salary and Grade Level Review
  • Job Descriptions
  • Personnel File Review
  • New/Terminated Employee Documentation
  • Performance Planning/Review Process
  • Compliance with Employment, Safety, and Other Regulations


DEPOSIT OPERATIONS

Gary Andreini, Operations Practice Director


  • New Accounts
  • Cash
  • Compliance Notices and Posters
  • Overdrafts
  • Security & Key Control
  • General Ledger & Suspense
  • ATM Deposits, Settlement
  • Night/Courier Deposit
  • Safe Deposit
  • Certifications
  • Inactive and Dormant Accounts
  • Levies and Attachments
  • Telephone Transfers
  • Stop Payments
  • Vault Controls & Negotiable Instruments


CASH MANAGEMENT / ELECTRONIC FUNDS TRANSFER

Michael Roberts, EFT Practice Director


  • ACH Rules Compliance (NACHA Appendix 8)
  • Wire Transfers
  • Online Banking
  • Remote Capture
  • Mobile Banking
  • Lockbox
  • Merchant Visa
  • Positive Pay


LOAN OPERATIONS / NOTE DEPARTMENT

Brock Williamson, Credit Practice Director


  • Boarding Controls
  • Document Preparation
  • Documentation Monitoring
  • Settlement and Balancing
  • Loans Secured by Marketable Securities or Deposit Accounts
  • Loan Maintenance
  • Negotiable Instruments
  • Construction Loan Disbursements
  • Other Advance Processing
  • Payment Processing
  • Loan Payoffs
  • File Controls


These only indicate typical scope requirements and are not intended as a comprehensive list to cover all needs or situations. Many clients have specialized requirements within each of these areas; we’ll customize them as needed. We have a very deep library of audit programs that we have developed and updated over the years. But if a specialized request comes in for something not in that library, we stand ready to develop a program for it.

CIP

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