Audit & Internal Controls Management

Common risk and control libraries and guidance

Guidance, regulations, and controls for industry specific audits and internal controls management

Galvanize's control libraries and guidance help you determine the adequacy of your current controls and fill gaps in these with the most effective controls to implement in your organization to better illuminate risks. Implement controls testing faster in your organization with common industry frameworks.

Included in the Content For Audit & Internal Controls Management

Browse by toolkit

A toolkit is a curated set of tools aimed at addressing one area of risk or compliance.

For example, a toolkit might include a set of data analytics, a risk control framework, and a best practices program.

Banking Audit

Regulatory content and guidance for Banks and Credit Unions, including:

Regulations

Office of the Comptroller of Currency (OCC)

  • 12 CFR Ch 1 - Office of the Comptroller of Currency (OCC) (eCFR 2019)

Federal Reserve System (FRS)

  • 12 CFR Ch 2 - Federal Reserve System (FRS) (eCFR 2019)

Federal Deposit Insurance Corporation (FDIC)

  • 12 CFR Ch 3 - Federal Deposit Insurance Corporation (FDIC) (eCFR 2020)

National Credit Union Administration (NCUA)

  • 12 CFR Ch 7 - National Credit Union Administration (NCUA) (eCFR 2019)

Consumer Financial Protection Bureau (CFPB)

  • 12 CFR Ch 10 - Consumer Financial Protection Bureau (CFPB) (eCFR 2019)

Federal Financial Institutions Examination Council (FFIEC)

  • 12 CFR Ch 11 - Federal Financial Institutions Examination Council (FFIEC) (eCFR 2019)

Other regulations

  • Bank Secrecy Act and Anti-Money Laundering (FFIEC 2014)

Guidance and Examinations

  • BSA/AML Examiner Procedures (FFIEC 2014)
  • CANSPAM Act Examiner Procedures (FDIC 2014)
  • Debt Collection Examiner Procedures (CFPB 2012)
  • EFTA Examiner Procedures (CFPB 2013)
  • ECOA Examiner Procedures (FDIC 2015)
  • E-SIGN Act Examiner Procedures (FDIC 2014)
  • FDPA Examiner Procedures (CFPB 2019)
  • GLBA Examiner Procedures (FDIC 2016)
  • GLBA Privacy Examiner Procedures (CFPB 2016)
  • HMDA Examiner Procedures (FDIC 2015)
  • Homeowners Protection Examiner Procedures (FDIC 2015)
  • Interagency Fair Lending Examiner Procedures (FFIEC 2009)
  • Interagency TILA Examiner Procedures (FFIEC 2018)
  • Interagency TISA Examiner Procedures (CFPB 2012)
  • MLA Examiner Procedures (CFPB 2016)
  • Mortgage Origination Examiner Procedures (CFPB 2015)
  • SAFE Act Examiner Procedures (CFPB 2012)
  • SCRA Examiner Procedures (FDIC 2016)
  • TCPA Examiner Procedures (FDIC 2016)
  • UIGEA Examiner Procedures (FDIC 2010)

Safety and Soundness

  • Allowances to Loans and Lease Losses E.P. (OCC 1998)
  • Capital Dividends Examiner Procedures (OCC 2018)
  • Commercial Loans Examiner Procedures (OCC 1998)
  • Corporate and Risk Governance Examiner Procedures (OCC 2016)
  • Insider Activities Examiner Procedures (OCC 2013)
  • Interest Rate Risk Examiner Procedures (OCC 1998)
  • Liquidity Examiner Procedures (OCC 2012)
  • Review of Income and Expense Examiner Procedures (OCC 1998)

Financial Services Audit

Regulatory content and guidance for Financial Services Institutions, including:

Regulations

Consumer Financial Protection Bureau (CFPB)

  • 12 CFR Ch 10 - Consumer Financial Protection Bureau (CFPB) (eCFR 2019)

Federal Financial Institutions Examination Council (FFIEC)

  • 12 CFR Ch 11 - Federal Financial Institutions Examination Council (FFIEC) (eCFR 2019)

Other regulations

  • Bank Secrecy Act and Anti-Money Laundering (FFIEC 2014)

Guidance and Examinations

  • BSA/AML Examiner Procedures (FFIEC 2014)
  • CANSPAM Act Examiner Procedures (FDIC 2014)
  • Debt Collection Examiner Procedures (CFPB 2012)
  • EFTA Examiner Procedures (CFPB 2013)
  • ECOA Examiner Procedures (FDIC 2015)
  • E-SIGN Act Examiner Procedures (FDIC 2014)
  • GLBA Examiner Procedures (FDIC 2016)
  • GLBA Privacy Examiner Procedures (CFPB 2016)
  • HMDA Examiner Procedures (FDIC 2015)
  • Homeowners Protection Examiner Procedures (FDIC 2015)
  • Interagency Fair Lending Examiner Procedures (FFIEC 2009)
  • Interagency TILA Examiner Procedures (FFIEC 2018)
  • Interagency TISA Examiner Procedures (CFPB 2012)
  • MLA Examiner Procedures (CFPB 2016)
  • Mortgage Origination Examiner Procedures (CFPB 2015)
  • SAFE Act Examiner Procedures (CFPB 2012)
  • SCRA Examiner Procedures (FDIC 2016)
  • TCPA Examiner Procedures (FDIC 2016)
  • UIGEA Examiner Procedures (FDIC 2010)

Federal Government Audit

Standards and templates for federal government audit teams, including:

Standards

  • AGA® Subrecipient Risk Assessment Monitoring Tool (AGA 2009)
  • GAGAS 2011 Revision (GAO-12-331G, 2011)
  • GAGAS 2018 Revision (GAO-18-568G, 2018)

Project Templates

  • GAGAS Agreed Upon Procedures (GAO 2011)
  • GAGAS Financial Audit (GAO 2011)
  • GAGAS Performance Audit (GAO 2011)
  • GAGAS Agreed Upon Procedures (GAO 2018)
  • GAGAS Financial Audit (GAO 2018)
  • GAGAS Performance Audit (GAO 2018)

State & Local Government Audit

Standards and templates for state and local government audit teams, including:

Standards

  • AGA® Subrecipient Risk Assessment Monitoring Tool (AGA 2009)
  • GAGAS 2011 Revision (GAO-12-331G, 2011)
  • GAGAS 2018 Revision (GAO-18-568G, 2018)

Project Templates

  • GAGAS Agreed Upon Procedures (GAO 2011)
  • GAGAS Financial Audit (GAO 2011)
  • GAGAS Performance Audit (GAO 2011)
  • GAGAS Agreed Upon Procedures (GAO 2018)
  • GAGAS Financial Audit (GAO 2018)
  • GAGAS Performance Audit (GAO 2018)

Audit Starter Toolkit

Guidance and controls for audit teams, including:

  • COBIT® 5 Framework (Limited Content)
  • COSO® Internal Control Framework 2013
  • IIA® International Standards 2017
  • ISACA® ITAF™ (3rd Edition)
  • SOX Audit COSO 2013 Control Framework
  • SOX Audit COSO 2013 Control Framework

Internal Controls Starter Toolkit

Guidance and controls for internal controls, including:

  • SOX Audit COSO 2013 Control Framework
  • SOX IT General Controls Review Framework
  • COBIT® 5 Framework (Limited Content)
  • COSO® Internal Control Framework 2013

Not what you were looking for? Explore more content suites

Security & IT Compliance

  • IT Risk and Compliance
  • Data Privacy Compliance
  • ISO 2700X Toolkit

Regulatory Compliance

  • Banking Compliance
  • Financial Services Compliance
  • Federal Government Compliance

Robotics

  • Resources
  • Pre-built Data Integration Robots
  • Pre-built Analysis Robots

Rsam Integrated Content

  • Rsam Regulatory Guidance

Risk Management

  • Banking Risk Management
  • Enterprise Risk Libraries