Exams or Audits

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

  • I would be interested in a copy of the checklist if you would share it. Thanks. You can email to Tonya.Harper@syb.comMore

  • I would also be interested in viewing your checklist, if you wouldn't mind sharing.it. Thanks, John. ------------------------------ Susan Ingham ------------------------------ More

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    Vendor Security Questionnaires

    This message was posted by a user wishing to remain anonymous ​At my present company we have had issues with new vendor applications/software coming into our environment and not vetted properly which caused a audit finding to be issued by Internal audit. ... More

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    RE: Vendor Site Visits

    This message was posted by a user wishing to remain anonymous Recommend that you add to the list: - if cell phones are allowed on the production floor; if not, how do they ensure cell phones are not on the floor? - also, ask if they maintain a list of ... More

  • Hi John, I would appreciate a copy also. mtully@enterprisebank.com . Thanks More

ThinkTank Announcements

  • Seeking Your Input - Annual TPRM Survey!

    Hi Community Members, We’re looking for your valuable input! Venminder is conducting their annual survey for the State of Third-Party Risk Management 2021 whitepaper and we’re hoping you may have 5 minutes to spare to help out and take the survey. The complimentary whitepaper will be released in early ... More
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    Hi Everyone, I want to share some very exciting news with you all. We have reached 1,000 community members! This is a milestone we’re very proud of and it’s all thanks to the fantastic third-party risk conversations you all are having every day. As always, please let me know if you have any thoughts ... More
  • COVID-19 Resources Page

    Hi Everyone,   With the COVID-19 pandemic upon us, organizations are implementing their pandemic plans, many employees are working remotely and changes in vendor management are rapidly occurring. In the industry, it has raised lot of questions about pandemic planning and best practices and reminds ... More
  • Happy New Year - We Want Your Feedback!

    Happy New Year ThinkTank members! We hope you've found the community discussions this past year to be enlightening and engaging. As we head into 2020, we want to hear your thoughts and feedback as it'll help us continue to understand what you'd like to see more of in the Third Party ThinkTank Community. ... More