Exams or Audits

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Welcome to the Exams and Audits Community. Here you will find the latest discussions and resources that can help you in this area. Use this community to discuss best practices, trends, how to prepare and more. Note: You will need to Sign In to join in the discussions and access resources. 

About Third Party Risk Exams and Audits: Exams and audits have vendor management components. Understanding ways to adequately prepare for an upcoming exam or audit is critical. You must understand what the examiners and auditors expect, how to prepare documentation you’ll share with them, who should be involved and how best to follow up on their exam findings so that the same mistake doesn’t happen again.

Latest Discussion Posts

  • To my community bankers, how is your organization handling the above requirement internally? We are still having some healthy debates internally on which category of vendors fall into this requirement. The requirement states, " significant computer-security ... More

  • We are currently undergoing an exam with the regulators and one of the questions that has come up is notification to regulators on new critical service providers. What guidance are all of you following and what new "critical providers" are you notifying ... More

  • Thank you Aimee. More

  • At minimum Info Security policy Aimee Forrett Compliance Manager Premium Mortgage Corporation More

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    Risk Assessments or Audits

    This message was posted by a user wishing to remain anonymous ​​Hello everyone, I just recently came across the below request and don't know if or how to begin implementing this request. We currently use outside servicers for our mortgage loans servicing. ... More