Victoria Johnson Consulting
Three California Banks: Center Bank, Wilshire State Bank & Provident Bank

Sarbanes-Oxley Act 404 Information Technology Audits

Objectives

  • Review and prepare each financial institution client for regulatory compliance within the scope of COBIT & COSO audit frameworks.
  • Subcontract to prime contractor, RSM McGladrey Inc.

Results

  • Generate methodology for evaluation criteria
  • Evaluate & interview banking IT operations, applying a methodology based on COBIT AND COSO frameworks
  • Author process narratives for IT Key Controls:
  1. Change Management
  2. Governance
  3. Security
  • Prepare audit program for Key and Applications Controls
  • Test controls in:
  1. Internet Banking
  2. Loan Origination
  3. Investment portfolio applications

Solution Provided

  • Recommend remediations for immediate action to:
  1. Senior Financial Officer
  2. Internal auditor
  3. CIO & IT division

Client's estimated ROI:  Regulatory compliance assured.


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