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Bank Information Systems Auditing

Technology in the financial services industry moves at a rapid pace and internal auditors need to keep up. This course provides an in-depth look at auditing bank information systems.
SKU: P2948EN
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The pace of change in the financial services industry is staggering. Competition and technology have driven the development of new products and services faster than ever before. New capabilities in networking, home banking, and Internet products have dramatically changed the way banks do business.

This module will provide internal auditors with the tools needed to understand the basics of bank processing systems and the control issues surrounding them.

This course includes an examination.

Learning Objectives:

  • Organization and management controls
  • System security administration and access controls
  • Operational controls
  • System and program development controls
  • Disaster recovery plans
  •          The controls governing the relationship with service bureaus

Course Outline:

  •          Organization and Management Controls

o   Sound personnel policies and procedures.

o   Separation of duties within the IS environment and other IS user groups and functional departments.

o   Compensating controls to mitigate control weaknesses identified.

o   Administrative issues.

o   Methods to assess the effectiveness and efficiency of IS operations.

  •          System Security Administration and Access Controls

o   Logical access

o   ID/Password principles

o   Security officer principles

o   Account lockout

o   Network security

  •          Operational Controls

o   Deposit cycle analysis

o   Input controls

o   Processing controls

o   Output controls

o   Balancing and reconciliations

o   Restarts and recoveries during daily work

  •          System and Program Development Controls

o   Standard software packages

o   Vanilla operations

o   Software escrow agreements

o   Acquisition considerations

  •          Physical Security and Environment Controls

o   Physical access

o   Logical access

o   Environmental controls

  •          Disaster Recovery and Contingency Planning

o   Disasters and threats

o   Alternate processing facilities

o   Contracting with a hot site

o   Components of an effective disaster recovery program (DRP)

o   DRP testing procedures

o   Backup and off-site storage considerations

  •          Service Bureau Environments

o   Physical and logical access controls

o   Operational controls

o   Environmental controls

o   Disaster recovery issues

o   Insurance issues

Duration:

0.83 hours

Features:

Audio, hybrid

Module(s):

7274EN

Products specifications
Course Language English
Length Range Over 60 Minutes
Length (Hours) 1.67
Course Features Audio
Course Features Mobile
Module Number(s) 7274EN
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