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AuditAlert is a virtual workpapers solution that automates the internal audit process, the regulator’s examination request for information and the compliance self-assessment review process. It also automates the management of audit and examination points and the audit committee process relating to these findings. AuditAlert allows for the effortless creation of the annual audit plan using a risk assessment scorecard approach and the management of actual vs. budgeted hours. Some of the salient features are:

Automate the entire workpaper process (click link to see screenshot and explanation)

Automate examination report (click link to see screenshot of Draft report - PDF format)

Manage audit & examination points (click link to see screenshot and explanation)

Risk assessment, audit planning & time management (click to see screenshots and explanation)

Notify auditee by email (click link to see screenshot and explanation)

Notify audit staff by email or pop-up notification (click link to see screenshot and explanation) more...

ComplianceAlert
Our compliance management solution ComplianceAlert is a database of compliance issues (we call them alerts) based on your existing policies, procedures and best practices that define your compliance program which:

employs email as the delivery channel to send alerts to specific groups or individuals within your organization based on a frequency you select for each alert

provides you with the ability to educate your staff on a piecemeal but continuous basis throughout the year with new regulatory compliance issues and issues from prior years

tracks all responses and non-responses and automatically sends out reminder notices

generates "quizzes" throughout the year to ensure that alerts are actually being read and understood

is a file management system that organizes all URL links and files referenced during the creation of an alert more...

DocumentsAlert incorporates a host of productivity-enhancing features designed to meet the specialized management of documentation for your customer-relationships.

DocumentsAlert is an advanced document and file management product designed specifically for financial institutions. Manage the disposition of missing documentation and covenants. Using your email system as a delivery channel, the application will automatically send reminders to your front office for action. Allow simultaneous access to documents. Ensure compliance with section 326 of the USA Patriot Act regarding documentary and non-documentary methods of customer identification. Fulfill Bank Secrecy Act, as well as other regulations and laws, regarding record retention schedule requirements. more...

eCashManagementAlert incorporates a host of productivity-enhancing features designed to meet the specialized cash management needs of your corporate customers and your backoffice.

eCashManagementAlert is an advanced electronic banking product that facilitates cash management via the Internet. You do not need to install any software or software upgrades at your customer sites. Features such as:

balance and transaction reporting

USDollar and foreign currency payments

independent input of payments and up to two levels of approval

foreign exchange and money market confirmations

on-line customer service

“advice to receive”

stop payment orders

market commentaries

repetitive and periodic payments

import and export files

display of check images for paid checks more...

preliminary review
audit programs
internal control questionnaires
attach supporting documents and URLs
associated laws, regulations, procedures and policy statements
document the "review" process
leave "notes" to staff and document responses
quality assurance review
examination report with audit findings and recommendations
manage multiple examinations from your desktop
mark each form, document or question as being reviewed
effortlessly use the prior examination as the starting point for the current examination

objective
scope
applicable laws, regulations, procedures and policy statements
audit findings, recommendations, and action plans
conclusion, including rating

audit finding, recommendation and action plan
auditee collaboration on resolution with staff
attach supporting files and URLs
automatic creation and delivery of "status of audit and examination points" reporting to audit committee
document follow-up work on corrective action

notification that examination is about to begin
distribution of assigned questions in an audit program, self-assessment review, or regulatory examination
distribution of assigned audit points
request for action plan by a specific date
periodic management updates to the action plan for audit committee
reminder and overdue notices for action plan
reminder and overdue notice on the resolution of audit points
auditee responds in web-based application (AuditAlert Web)

Create each audit entity to be examined, thereby creating the audit universe
Create risk assessment scorecard
Score each audit entity creating an overall risk assessment scorecard listing
Create the audit plan, which can be a one, two or three year plan
Establish overall budget-hours for each examination
Assign audit staff form a drop-down list to each examination
Track actual vs. budgeted hours
Account for actual hours by assigned examination, audit staff member and, in aggregate, the plan
Generate comparative displays / reports (budget vs actual)
"Copy" last year's audit plan as a draft for the current year's plan

notification that examination is about to begin
distribution of assigned questions
distribution of assigned audit points
notification that audit point has been completed so follow-up work can be performed
leave a note (a "to do" task) for audit staff on any form or document within an examination or audit point
receive response from audit staff