• FFIEC Compliance Audit Checklist

    Complete this checklist to document the audit scope, control assessments, findings, remediation, and final review for the institution or branch being evaluated.

  • Audit Identification

  • Audit Date*
     - -
    2 digit month, 2 digit day, 4 digit year
  • Review Period Start Date*
     - -
    2 digit month, 2 digit day, 4 digit year
  • Review Period End Date*
     - -
    2 digit month, 2 digit day, 4 digit year

  • Compliance Scope and Applicability

  • Audit scope area(s)*
  • Audit type*
  • Review location*

  • Control Assessment Checklist

  • Policy / Procedure Documentation*
    Rows
  • Staff Training Completion*
    Rows
  • Monitoring and Testing Performed*
    Rows
  • Issue Escalation*
    Rows
  • Record Retention*
    Rows
  • Customer Disclosures and Notices*
    Rows
  •

  • Findings and Risk Evaluation

  • Likelihood / Impact Rating*
    Rows
  • Is the Issue Recurring?*

  • Remediation and Follow-Up

  • Target Completion Date*
     - -
    2 digit month, 2 digit day, 4 digit year
  • Follow-Up Status*
  • Evidence of Remediation Attached or Will Be Provided*

  • Final Review

  • Overall Audit Conclusion*
  • Acknowledgment: Information is accurate and complete for the audit record*
  • Should be Empty:
Select theme: