TOPIC: Internal Audit

Business Analytics AMS/PAL - Combining report with Premier package

Employee at a bank ($366MUSA)
We recently implemented the Activity Management System/Premier Audit Log (AMS/PAL) package within Business Analytics and would like to see additional field information that is not available in this reporting package. I was given instructions on how to "combine 2 reporting packages into 1 report using the SQL" from Fiserv but they don't support this type of functionality at client care, it can only be requested through Professional Services. The steps aren't complicated and I have attempted to combine the AMS/PAL package with the Premier package using the instructions but still can not get it to work. Has anyone been successful in accomplishing this that would be willing to assist me?

Thank you in advance!

    Audit procedures for tellers using TCRs

    Employee at a credit_union ($383MUSA)
    We have recently gone from TCDs to TCRs. We have the cash counts down, we have the forms to input all the cash information.  What we are looking for are internal controls to put in place for tellers.   Not that we have had a problem but an incident has happened for us to evaluate our audit process.   During busy times when a very large cash deposit is made the teller delays the deposit of cash to the machine.  The cash is set aside until they have time to put the cash in the recycler which is a great concern thus delaying a deposit.   If a teller took a deposit for $100 and gave the customer a receipt for $100 but only put in $75 in the machine what audit procedures would be in place?  I know the machine would be out of balance but are there reports that substantiate the receipt versus the deposit.  And, how would we know if there is a fictitious transaction? 

      Second-line Risk Testing / Risk Matrix Template

      AVP at a bank ($102MUSA)
      Hello, 
      I am in the process of developing out the second-line of defense testing scripts for risk mgmt areas (deposits, BSA, Lending/Credit, finance, etc) and documenting the specific controls.  Is anyone willing to share their process, test scripts with what questions/items you review? Or a risk control matrix/template that outlines risks and controls common to the community banks.
      Thank you, 
      Maria