The following 118 items are listed by Content Data.
Job Descriptions
Chief Credit Officer Job Description
This job description sample outlines the responsibilities, key selection criteria and general information for the role o...
Subscriber Content
Newsletters
Board Effectiveness: The Fed’s Guidance Speaks to Resiliency
In this issue of Board Perspectives, we discuss the significance of the Federal Reserve Board’s recently released guidan...
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Blog
How to Monitor Transaction Governance for Anti-Money Laundering
Expectations for transaction monitoring (TM) governance are quickly evolving due to the complexity of detec...
Blog
How Quick Is Your Financial Close Process?
"Close the books" is a process that a corporation uses to reconcile, consolidate and report financial infor...
Audit Reports
Privacy Compliance Program Review Audit Report
This sample report focuses on the privacy compliance state at a financial institution and uses a capability maturity con...
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Articles
Five Reasons for Conduct Risk Failures — With One Shared Cause
In this white paper, we analyze the root causes of conduct risk failures, focusing on five specific but interconnected a...
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Requests for Proposals - RFPs
Request for Proposal: Assess Internal Audit Coverage of Banking Subsidiaries
This request for proposal is designed for organizations seeking service providers to evaluate their internal audit appro...
Subscriber Content
Requests for Proposals - RFPs
Request for Proposal: Financial Institution Quality Assessment Review
This sample request for proposal (RFP) is designed for a financial institution seeking a service provider to conduct an ...
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Checklists & Questionnaires
Banking Controls: Management Control Structure Evaluation Questionnaire
This guide is designed to assist management in analyzing the effectiveness of a company's management control structure M...
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Checklists & Questionnaires
Bank Controls: Information Systems Evaluation Tool
This tool helps to assist management in analyzing the effectiveness of the internal control structure over financial rep...
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Audit Reports
Real Estate Services Agreement Audit Report
This sample audit report provides findings from a company’s real estate services agreement review.
Subscriber Content
What is Financial Instrument Risk?
What is Financial Instrument Risk?Buyers and sellers may enter into sub-optimal financial or commodity inst...