Objectives

• Review and prepare each financial institution client for regulatory compliance within the scope of COBIT & COSO audit frameworks.
• Subcontract to prime contractor, RSM McGladrey Inc.

Results

• Generate methodology for evaluation criteria
• Evaluate & interview banking IT operations, applying a methodology based on COBIT AND COSO frameworks
• Author process narratives for IT Key Controls:

1. Change Management
2. Governance
3. Security

• Prepare audit program for Key and Applications Controls
• Test controls in:

1. Internet Banking
2. Loan Origination
3. Investment portfolio applications

Solution Provided

• Recommend remediations for immediate action to:

1. Senior Financial Officer
2. Internal auditor
3. CIO & IT division

Client's estimated ROI:  Regulatory compliance assured.

| Case Study 1 | Case Study 2 | Case Study 3 |

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