Preparing For Your Next IT Examination

This presentation will provide practical information for preparing for your next IT examination regardless of whether you are examined by the FDIC, FRB, OCC, OTS, or NCUA. Very well suited for a full day seminar, can be adjusted to fulfill any timeframe of one hour plus.

Regulatory examinations today while risk focused and concentrated on management oversight and data security will be enterprise-wide encompassing all areas of operations as well as IT. Therefore it is imperative that management ensure effective administrative, technical, and physical controls are in place throughout the institution. In this seminar we will cover at a high level the areas typically addressed in an IT examination, regulatory requirements, and point out some of this year’s “hot spots”.

Agenda:

• Traditional IT examination components


Management
Audit
Operations
Development and Acquisition
Internet Banking
EFT

• Regulatory requirements


Information Security Program
Risk Assessment
Business Continuity Plan
Incident Response Plan
Vendor Management Program
Red Flags – ID Theft Prevention Program

• Controls and Security Management


Operations/core processing/network
Electronic banking
Wire transfers

• Current “hot spots”

Audience:

Senior management, operations, audit, compliance officers, IT staff, and anyone else responsible for preparing for and overseeing the examination program.


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