2017 Internal Bank Audit School

Dec 12, 2017 to Dec 13, 2017
IBA Center for Professional Development
8425 Woodfield Crossing Blvd., Suite 155E
Program Overview: 

PDF Brochure

The Indiana Bankers Association is pleased to announce that Crowe Horwath LLP will present this timely, two day program for  the IBA membership. Crowe Horwath LLP provides innovative business solutions in the areas of assurance, benefit plan services, financial advisory, forensic services, performance services, risk consulting, and tax consulting.

This program is formatted to provide detailed guidance over current regulatory hot topics such as vendor risk management, model risk management, interest rate risk and liquidity risk including internal audit techniques.  It will also cover more traditional audit concepts such as lending and communicating effective audit results, but include recent trends in those areas. The final portion of the program will cover bank audit committee responsibilities.

Delivery Method / Program Level / Content

This live, overview program is for internal auditors and senior staff who work within this area in the bank with varied levels of experience. This seminar incorporates several internal audit issues with accompanying valuable reference materials. The instructors will take time to discuss FAQs and will have opportunities to work through common problems and situations.



Auditing Electronic Funds Transfer

This seminar is 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—Updates

Auditing the Deposit Function

This seminar is a practical, hands-on discussion of effective practices in auditing the Deposits function.

• 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 is a practical, “hands-on” discussion of effective practices in auditing the branch operations function.

• Surprise cash counts

• Consigned items

• Night depository

• Hold mail

• Safekeeping items

• Regulatory disclosures

• Security controls

• Safe deposit boxes

• Segregation of duties analysis

• Reconciliations



Matthew G. Davis, CIA, Crowe Horwath LLP

Matthew Davis is a Senior Manager in Crowe Horwath LLP’s Financial Institutions Risk Consulting practice. He is responsible for managing internal audit engagements; overseeing the design and testing of SOX and FDICIA control environments; facilitating enterprise risk management projects; leading data analysis projects and continuous data monitoring; as well as providing assistance and guidance to clients on a wide range of risk related issues. His thought leadership developments have ranged from topics relating to third party risk management to recommendations regarding the most recent COSO 2013 release. Matthew is also a frequent speaker to industry groups and professional associations. He has presented on a wide range of topics including COSO, Enterprise Risk Management, SOx, and Internal Audit. His client experience ranges from small de novo banks to large multi-billion asset sized financial institutions.

Joseph Garcia, CPA, Crowe Horwath LLP

Joe is a Manager in the Crowe’s Risk Consulting practice, and is part of the Chicago office. Joe focuses on financial institution clients and is responsible for managing internal audit engagements including performing risk assessments, overseeing the scoping, planning and execution of fieldwork, and reporting of audit results. Joe also performs FDICIA/SOx-related activities such as key control identification, and evaluation of control design and operating effectiveness. Joe spends a significant amount of time performing SOC/SSAE 18 audits over management’s control operating effectiveness for fiduciary clients, and performing technical reviews for his clients over the Allowance for Loan Losses and Asset Liability Management areas.



8:30 a.m. Registration & Continental Breakfast
9:00 a.m. Program Begins
12:00 Noon Lunch (included)
1:00 p.m. Program Resumes
4:00 p.m. Program Adjourns


This seminar will be held at the IBA Center for Professional Development, 8425 Woodfield Crossing Blvd. Suite 155E, Indianapolis, IN 46240. Directions, map & a list of local hotels are available at www.indianabankers.org or by calling 317-387-9380.


IBA Members


Participation in IBA programs is limited to members, associate members, and nonmembers from an eligible membership category at applicable member or non-member rates.

Additional Information: 

Updates to the Internal Audit Profession

There have been a number of initiatives to enhance the internal audit profession and the related internal control environment. This seminar will present these topics:

• Updates to The Institute of Internal Auditors’ International Professional Practices Framework

• Regulatory Updates on examination guidance for internal audit and corporate governance

Enterprise Risk Management and Internal Auditing

This seminar will discuss Enterprise Risk Management (ERM) and the related roles that internal audit plays.

• Purpose and value of ERM

• ERM implementation

• Importance of risk appetite statement

• COSO’s proposed ERM Framework update

• Risk culture

• Auditing an ERM program

Data Analytics

This seminar 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

This seminar will discuss trends in financial institution fraud.

• Fraud Statistics

• Fraud Characteristics and Conditions

• Fraud Schemes

See brochure for more insight on topics to be covered!

Association Contact: 

If you have any questions please contact Elizabeth Kilty at 317-387-9380 or via e-mail at ekilty@indianabankers.org.

Cancellation Policy: 

Within three or more business days prior to the day of an educational program, no cancellation charge will be assessed. Within two days prior, 50% of the fee is assessed. Refunds are not provided for cancellations the day before or absences on the day of the program. Substitutions are welcome at anytime.

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