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GLBA Audit Work Program Sample.xls

CBANC Member at a Bank with $253M in assets, located in the West United States on March 5, 2015

Internal audit of GLBA, Information Security and Identity Theft Red Flags. The work program is structured similarly to the GLBA reg key objectives. I have information in a few of the columns as an example.

Mortgage Servicing Risk Assessment.xlsx

CBANC Member at a Bank with $253M in assets, located in the West United States on March 4, 2015

This risk assessment was completed by our mortgage department Fall 2014. The assessment includes both the risk and mitigation of the risk. We had a safety and soundness examination and this assessment passed the examiners scrutinity.

Uploaded in response to: I am searching for the following risk assessments: EMV, Apple Pay and Mortgage servicing. If you have completed any of these, I would appreciate being able to see them. Thanks

Security manual.docx

CBANC Member at a Bank with $1,174M in assets, located in the West United States on March 4, 2015

The security manual we use at our Bank.

Audit Entrance Conference.xlsx

CBANC Member at a Bank with $2,707M in assets, located in the Southeast United States on March 2, 2015

Pre audit Entrance Conference document we use to introduce the current year audit to our clients. We fill in client comments and concerns during the conference.