The Alabama Bankers Association
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Internal Audit Seminar
 

February 23, 2010
ABA Training Room
Montgomery, Alabama

9 a.m. - 4 p.m.
Registration begins at 8:30 a.m.

 
 

Program Outline

Seven Step Process to Risk Based Auditing

  • · Understanding the Business Environment
  • · Preliminary Risk Assessment Process
  • · Develop a Three Year Audit Plan
  • · Secondary Risk Assessment Process
  • · Execution of Internal Audit Program
  • · Conduct Exit Meetings
  • · Reporting and Communication

Auditing Electronic Funds Transfer

  • · Overview of Automated Clearing House
    • · Essential Control Points
    • · Program Steps
  • · Overview of Wire Transfer
    • · Essential Control Points
    • · Program Steps
  • · Overview of Remote Deposit Capture
    • · Essential Control Points
    • · Program Steps
  • · Overview of Internet Banking
    • · Essential Control Points
    • · Program Steps
  • · Electronic Funds - Current Fraud Trends

Effectively Communicating Audit Results

  • · “Top Ten” Techniques for Verbal Presentations
  • · Audit Report Structure
  • · Elements of an Audit Finding

Speakers
Mike Thomas is a Partner in Crowe Horwath LLP’s Financial Institution Risk Consulting practice in the Southeastern United States. He has over thirty years of broad-based experience, specializing in the financial services industry. Mike’s responsibilities include advising clients in areas such as risk management, fraud prevention and quality assurance assessments. In addition, he coordinates contract services for internal audit, loan review and compliance outsourcing at financial institutions, as well as working with clients to re-engineer their internal audit and risk management operations. Prior to joining Crowe Horwath LLP, Mike was an Internal Audit Services Director for PricewaterhouseCoopers LLP and served as Vice President & Audit Group Manager for SunTrust Banks, Inc., a $175 billion bank holding company.

Mike is a frequent lecturer on internal audit, risk management, fraud prevention and banking related topics. He is a Distinguished Faculty Member of the Institute of Internal Auditors, an Adjunct Faculty Member of the Association of Certified Fraud Examiners and has been an instructor for the Bank Administration Institute, the Financial Manager’s Society and the Georgia, Alabama, Louisiana and Florida Banker’s Associations. Mike is a member of the Institute of Internal Auditors, the Association of Certified Fraud Examiners, the American Institute of Certified Public Accountants (including the Alabama and Georgia Societies) and the Bank Administration Institute.

Mike holds a BBA degree in accounting from Columbus State University and has attended the Bank Administration Institute’s School for Bank Administration (Audit Management) and the American Banker’s Association Stonier School of Banking.

Amanda Stanford is a Senior Manager in Crowe Horwath LLP’s Financial Institution Risk Consulting practice in the Southeastern United States. She has ten years of broad-based experience, specializing in the financial services industry. Amanda’s responsibilities include advising clients in areas such as risk management and quality assurance assessments. In addition, she manages contract services for internal audit outsourcing at financial institutions. Prior to joining Crowe Horwath LLP, Amanda worked for PricewaterhouseCoopers, LLP in their Internal Audit Practice.

Amanda is a member of the Institute of Internal Auditors, Alabama Bankers Association, and the Bank Administration Institute.

Amanda is a Certified Internal Auditor, Certified Bank Auditor, holds a Bachelor of Science degree in finance from Troy University, and was the Salutatorian of the Alabama Banking School Class of 2004.

Registration
ABA Members are $195 per person for members and nonmembers. Registration fees include instruction, materials, refreshments and lunch.

Cancellation
Full registration fees will be refunded if a cancellation is received on or before ten business days prior to the meeting. If date of cancellation is less than ten days prior to the meeting, a $100 processing fee will be retained. No refunds will be given for cancellations made the day of the program. Substitutions are welcome.

More Information
Dress for the seminar is business casual. To ensure your comfort, please bring a jacket or sweater. If you need additional information, the ABA office, 334-834-1890 or 800-239-5521.