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Strategic Planning Audit Checklist - Banking Industry

This checklist is designed to evaluate the strategic planning processes within a banking institution, ensuring that they align with the overall organizational goals and comply with IIA standards.

Strategic Planning Audit Checklist - Banking Industry

by: mohammadiihabibull...
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About This Checklist

In the fast-paced banking industry, strategic planning is crucial for long-term success and sustainability. Utilizing a checklist for auditing strategic planning processes helps identify gaps, ensure compliance with standards, and enhance overall performance. This audit checklist serves as a vital tool for auditors to systematically assess the effectiveness and appropriateness of strategic planning within banking institutions, addressing potential risks and ensuring aligned objectives.

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Industry

Financial Services

Standard

IIA - Institute of Internal Auditors Standards

Workspaces

Banking offices
Corporate Offices

Occupations

Auditor
1
Is the bank compliant with current regulations?

Select the compliance status.

To assess adherence to regulatory requirements.
2
What is the average customer feedback score?

Enter the average score out of 5.

To evaluate customer satisfaction levels.
Min: 1
Target: 4
Max: 5
3
When was the last compliance audit conducted?

Select the date of the last audit.

To track the frequency of compliance audits.
4
What is the current risk assessment level for the bank?

Select the risk assessment level.

To identify the level of risk associated with bank operations.
5
What issues were identified during the last audit?

List any identified issues.

To document and address any compliance issues.
6
What is the status of the audit follow-up actions?

Select the status of follow-up actions.

To track completion of follow-up actions from previous audits.
7
What measures are in place to ensure operational efficiency?

Describe the operational measures.

To evaluate the effectiveness of operational processes.
8
What is the average time taken to process a transaction?

Enter the average time in minutes.

To assess the efficiency of transaction processing.
Min: 1
Target: 2
Max: 10
9
Is employee training compliance up to date?

Select the training compliance status.

To ensure that all employees are trained according to company standards.
10
When was the last operational training session conducted?

Select the date of the last training session.

To track the frequency of operational training.
11
What is the current status of incident reporting procedures?

Select the incident reporting status.

To evaluate the effectiveness of incident management.
12
What is the status of customer complaint resolutions?

Select the complaint resolution status.

To monitor how effectively customer complaints are handled.
13
Is the bank currently compliant with all regulatory requirements?

Select the regulatory compliance status.

To determine the bank's adherence to industry regulations.
14
What challenges are currently faced in maintaining compliance?

Describe any compliance challenges.

To identify issues impacting compliance efforts.
15
How often is compliance training conducted for employees?

Enter the frequency of training sessions per year.

To assess the frequency of compliance training initiatives.
Min: 1
Target: 6
Max: 12
16
When was the last update on regulatory requirements received?

Select the date of the last regulatory update.

To ensure the bank is informed about recent regulations.
17
What is the status of resolving findings from the last audit?

Select the resolution status of audit findings.

To track progress on addressing previous audit findings.
18
What improvements are recommended for enhancing compliance?

List any recommended compliance improvements.

To gather suggestions for better compliance practices.