2018 Internal Bank Audit School

Dec 11, 2018 to Dec 12, 2018
IBA Center for Professional Development
8425 Woodfield Crossing Blvd., Suite 155E
Program Overview: 

PDF Brochure

The Indiana Bankers Association is happy to announce that Crowe Horwath LLP will present a two-day internal audit seminar on December 11-12, 2018, covering the following topics:

Auditing the Lending Function

  • Overview of the Lending Function
  • Analysis of Lending Sub-Processes
  • Internal Audit Objectives and Procedures:
    • Commercial, Consumer, Real Estate, Credit Card
    • Loan Loss Reserve
    • Letters of Credit
    • Default Management

Auditing Mortgage Banking Functions

  • Overview of Mortgage Lending, Secondary Marketing, and servicing functions
  • Analysis of Mortgage Lending, Secondary Marketing, and Servicing Sub-Processes
  • Mortgage Lending, Secondary Marketing, and Servicing Internal Audit Objectives
  • Mortgage Lending, Secondary Marketing, and Servicing Internal Audit Procedures
  • Mortgage Fraud
    • Fraud Statistics, Schemes, Prevention

Third Party Risk

  • Understanding cyber-related incidents and contingency plan failures.
  • Integrating vendor management oversight into critical bank processes.
  • Evaluating the adequacy of third-party risk management.

Regulatory Update

  • Develop a working knowledge of regulatory risk management for emerging hot topics.
  • Identify the latest legislative and regulatory developments and how these could affect your financial institution.
  • Recognize the latest trends and regulatory examination focal areas in banking financial data and demographics.

Effectively Communicating Audit Results

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

Auditing the Accounting Function

  • General Accounting
  • Financial Reporting
  • Regulatory Reporting
  • Accounts Payable
  • Fixed Assets

Recent Trends in Financial Institution Fraud

  • Fraud Statistics
    • Suspicious Activity Report (SAR) Filings
    • ACFE’s 2016 Report to the Nations
    • 2017 American Bankers Association Deposit Account Fraud Survey Report
  • Fraud Characteristics and Conditions
    • Weakness in the system of internal control
    • Lack of effective internal audit
    • Limited or no review of employee accounts
    • Lack of Board involvement or weak Audit Committee
    • Poor staff morale or high turnover
    • Incomplete or missing documentation
    • Inadequate monitoring systems
    • Internal Fraud Red Flags
  • Fraud Schemes
    • Loan Fraud
    • Fraudulent Electronic Funds Transfers
    • Teller Cash
    • Certificates of Deposit
    • ATM Fraud
    • Identity Theft
    • Fictitious General Ledger Entry
    • Phishing Scams
    • Cyber Threats

Crowe Horwath LLP (www.crowehorwath.com) is one of the largest public accounting, consulting and technology firms in the United States. Crowe uses its deep industry expertise to provide audit services to public and private entities while also helping clients reach their goals with tax, advisory, risk and performance services. Crowe is recognized by many organizations as one of the country's best places to work. Crowe serves clients worldwide as an independent member of Crowe Horwath International, one of the largest global accounting networks in the world. The network consists of more than 200 independent accounting and advisory services firms in more than 130 countries around the world.


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.

Association Contact: 

If you have any questions please contact Marcy Borden at 317-387-9380 or via e-mail at mborden@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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