Education & Events

Hybrid Delivery Options
Indiana Bankers Association Center for Professional Development or Live Streamed

The Illinois Bankers Association will once again be joining the Indiana Bankers Association to bring our bankers the Internal Bank Audit School presented by Crowe, LLP. Crowe LLP provides innovative business solutions in the areas of assurance, benefit plan services, financial advisory, forensic services, performance services, risk consulting, and tax consulting. The school is formatted to provide detailed guidance over current regulatory hot topics such as how to audit the lending function, mortgage banking functions, and current expected credit (CECL). Day two of the school will cover enterprise risk management & internal auditing, the essentials of risk, Basel auditing, and also recent trends in financial institution fraud.

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Agenda

All times in EST. Same schedule for both days of training.

8:30 a.m. Registration & Continental Breakfast
9:00 a.m. Program Begins
12:00 Noon Lunch (included for onsite attendees)
1:00 p.m. Program Resumes
4:00 p.m. Program Adjourns

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
  • Allowance for Credit Losses
  • Letters of Credit
  • Default Management
• Auditing Mortgage Banking Functions
• Overview of the Mortgage Lending and Servicing Functions
• Internal audit objectives and procedures related to:
  • Loan Application Sourcing
  • Loan Origination, Underwriting, and Approval.
  • Loan Closing and Funding
  • Loan Boarding
  • Servicing
  • Policy and Procedures
  • System Access
• Auditing Third-Party Risk Management
• Overview of the Third-Party Risk Management Functions
• Internal audit objectives and procedures related to:
  • Initial Due Diligence and Third-Party Selection
  • Ongoing Due Diligence
  • Vendor Termination
  • Governance and Oversight
• Ethics per the 2024 IIA Global Internal Audit Standards
• Overview
• Principle 1 Demonstrate Integrity
• Principle 2 Maintain Objectivity
• Principle 3 Demonstrate Competency
• Principle 4 Exercise Due Professional Care
• Principle 5 Maintain Confidentiality
  
• Data Analytics and Data Governance
  
• Compliance Hot Topics

Presenters
Nancy Kwak is a Senior Manager within Crowe’s Consulting practice. She is responsible for managing outsourced and co-sourced internal audits, regulatory compliance (primarily 12CFR9), and Sarbanes-Oxley (SOx) & FDICIA Compliance for financial institutions located nationwide. Nancy has focused on serving the banking and financial services industries. She has broad experience in Bank Operations and has worked extensively with financial institutions to provide risk assessments and oversee the scoping, planning, and delivery of fieldwork and reporting of audit results. Nancy devotes a significant portion of her time to specializing in Wealth Management – Trust Administration and Operation audits, and SSAE18 (SOC-1) attestations and spends a significant amount of time providing Trust/Fiduciary consulting services to Bank Wealth Management Departments and Trust Companies nationwide.

Marc Calvey is a manager working with Crowe LLP specifically serving financial services companies within the Consulting Group and is responsible for risk assessments and internal audit projects. During his career, Marc has spent the majority of his time focusing on the banking/financial service sector. Overseeing the auditing of internal controls; providing value-added recommendations for identified deficiencies and identifying potential “best practice” business improvement opportunities. Marc helped his clients implement FDICIA/SOx control frameworks and assisted in performing related activities such as key control testing and evaluation of control design and operating effectiveness. He also performs technical rereviews over a variety of activities including Asset Liability Management, Electronic Banking, and Allowance for Credit Losses functions within financial institutions.

Fee Per Person $595

Location
This school will be held at the IBA Center for Professional Development, 8425 Woodfield Crossing Blvd. Suite 155E, Indianapolis, IN 46240. Directions, maps & a list of local hotels are available at www.indiana.bank or by calling 317-387-9380.

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 any time.

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