Employee Security Audit Booklet


In keeping with the requirements of your contract with your CU*BASE Certified Distributor, credit unions are required to complete a review of employee permissions to the core on an annual basis.  Your destination is to assure the appropriate levels of safety and soundness by implementing the appropriate segregation of duties when possible, and, if that cannot be achieved, to understand the risks and create review procedures to mitigate those risks that were identified.

Having a formalized process for granting access right and to perform regular audits against changes is vital.  Written by well renowned expert in the filed of auditing and internal expert for CU*BASE employee security, Employee Security Audit provides a roadmap to auditing your employees access to CU*BASE and assuring your credit union holds itself accountable to the highest standards.


What’s Inside

In addition to contract requirements, FFIEC guidance followed by state and federal regulators indicate that a regular review of employee permissions is advised. Creating and executing a security audit based on your credit unions organizational polices and government regulations can be perplexing. Factors impacting your audit might include access to technical resources to inspect and assess security controls and the appropriate access to the intellectual capital required to review and implement best practices.

Establishing a systematic, measurable technical assessment of how your credit unions security policy is employed will help you identify your biggest security risks so you can make changes that will protect your credit union from those risks. Performing a full audit when job descriptions change and when other significant changes impacting your human resources occurs is vital.  Once this audit is complete your credit union should institute a formal process to complete access control changes on a continuous basis and then document the audit for the Supervisory Committee, regulators, and third-party auditors.

“Employee Security Audit” will help you put a process in place that formalizes your approach for granting access rights. Then quarterly, you, your supervisory team and managers will audit the changes against the tool maintenance reports.

The process requires planning, preparation, communication, and documenting the work performed. A culmination of 20 plus years of experience performing security reviews for credit unions from 5 million to a billion dollars in assets.  AuditLink’s Vice President of Business Development, Jim Vilker, NCCO, CAMS, provides the instructions and professional guidance you will need to make Employee Security Audit a part of your credit unions operations. Make Employee Security Audit a part of your strategy by ordering your free copy today.

Who Should Read This Paper

A self-help guide for Employee Security Audit’s. Includes industry expertise, questions for consideration during your audit, comprehensive user manuals for CU*BASE Toolsets and Reference Materials making your audit a success.  Designed for Credit Union Executives, Managers and Supervisory Committees.


Other Resources

Employee Termination Checklist

Employee Security – From a Practitioner’s Standpoint- Webinar

Employee Security – User ID Additions and Deletions


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