Banking and Risk Management Consultants
Bank Consulting in Entity Level Controls
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Bank Consulting in Accounting Process Controls
Accounting Process Controls
Accounting Process Controls Assessments are conducted by RLC to help Management and the Audit Committee assess controls surrounding the preparation of financial statements to meet Sarbanes-Oxley standards.

Policies and procedures, authority levels, variability review practices, segregation of duties, spreadsheet controls, and closing procedures are included in the scope of this engagement. Materiality calculations are also reviewed.

Special attention is paid to manual versus automated controls, proper identification of primary controls, and the existence of secondary and downstream controls.   Ethics and Whistleblower programs and the fraud detection framework are also assessed.

 
Warning Signs

Unsupported Changes in Accounting Policies

Inadequate Subjective Account Documentation

Lack of Segregation of Duties

Inadequate Risk and Control Identification

Insufficient Management Reports

Too Many Manual Processes

Concentration of Work with a Few Associates
   

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