Tennessee Bankers

Internal Bank Audit

August 21 & 22: TBA Barrett Training Center, Nashville

Early Registration Deadline: August 7, 2019

TBA is conducting this timely, internal audit programming in conjunction with Crowe LLP. This overview program is for internal auditors and senior staff. This two-day program will provide an overview of the internal audit function, along with audit concepts and techniques to aid in identifying risk in areas common to all financial institutions.



Auditing Electronic Funds Transfer
This seminar will be a practical, “hands-on” discussion of effective practices in auditing the Electronic Funds Transfer function.
• Overview of the Electronic Funds Transfer Function
• Analysis of Electronic Funds Transfer Sub-Processes
• Internal Audit Objectives and Procedures:
• NACHA Rules 

Auditing the Deposit Function
This seminar will be a practical, “hands-on” discussion of effective practices in auditing the deposits function, covering:
• New accounts
• Dormant accounts
• File maintenance
• Overdrafts, uncollected funds, and kiting suspect review
• Cash letter adjustments
• Item processing
• Employee accounts
• Reconcilements

Auditing the Branch Operations Function
This seminar will be a practical, “hands-on” discussion of effective practices in auditing the branch operations function, including:
• Surprise cash counts 
• Consigned items 
• Night depository 
• Hold mail 
• Safekeeping items 
• Regulatory disclosures 
• Security controls 
• Safe deposit boxes 
• Segregation of duties analysis 
• Reconciliations 

Transforming Internal Audit
Words and phrases like speed of change, transformation, and agility have become almost common place. Therefore, Internal Audit needs to be on the leading edge of this change and able to deliver the highest level of value to its stakeholders.  Presenters will cover:
• Internal Audit Strategy Considerations
• Process Advancements  
• Resource Implications  
• Effective use of technology

The Three Lines of Defense and Internal Audit’s Role in Effective Risk Management
Facilitators will discuss the three lines of defense and focus on the role that Internal Audit plays.  
• Explain and discuss each line of defense 
• Recognize who the players are in each line of defense
• Compare and contrast the risks and focus of each line, including the dependencies

Data Analytics 
Presenters will discuss how to incorporate Data Analytics into the Internal Audit function. 
• Overview of Computer Assisted Audit Techniques (CAATs)
• Adding value through data analytics 
• Practical techniques and implementation challenges
• Continuous monitoring

Recent Trends in Financial Institution Fraud
Presenters will discuss trends in Financial Institution Fraud.
• Fraud Statistics 
• Fraud Characteristics and Conditions
• Fraud Schemes



E. Michael Thomas, CPA, CIA, CBA, CFE, CRP, CFF, CRMA, partner, Crowe LLP
Russell W. Dailey, CPA, CAMS, manager, Crowe LLP
Matthew G. Davis, CIA, senior manager, Crowe LLP 


Thank You to Our Sponsor

Crowe LLP


Continuing Education Credit:

13 hours CPE credit - Specialized Knowledge


Program Fees

TBA Members / Associate MembersNonmembers
Early Registration $530$1060
Early registration deadline is August 7, 2019
Registration $580$1110
Day-of-Program $630$1160

TBA Contact

Monique White - mwhite@TNBankers.org
Director of Education
Tennessee Bankers Association
211 Athens Way, Ste 100 • Nashville, TN 37228-1381
800/964-5525 or 615/244-4871 or www.TNBankers.org

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