2014 IT Exam Basics & Regulatory Focus
Part 1: Anatomy of an IT Exam

Regulatory examinations today, while risk-focused and concentrated on management oversight and data security, will be enterprise-wide, encompassing all areas of operations as well as IT.  It is imperative that management ensure effective administrative, technical, and physical controls are in place throughout the institution. 

Day one provides practical information for preparing for your IT examination and regulatory requirements. At the conclusion of day one, participants will:

  • Have a basic understanding of the traditional focus of an IT examination
  • Have an understanding of the regulatory requirements for the key policies, programs, and plans
  • Have a better understanding of regulatory expectations relating to security and controls
  • Prepare effectively for the next IT exam or audit


  • Traditional IT examination components: management, audit, operations, development and acquisition, internet banking and EFT
  • Regulatory requirements – information security program: risk assessment, controls, controls testing, training, business continuity plan, incident response plan and vendor management program
  • Controls and Security Management: operations/core processing/network, electronic banking and wire transfers


Senior management, IT and operations staff, Internal IT auditors, compliance officers.  


Susan Orr, CISA, CISM, CRP, CRISC, is an industry expert with vast regulatory, risk management and security knowledge. During her 14 years as bank examiner, Susan held numerous lead positions including Regional IT Examination Specialist, Special Assistant to the Regional Director, and Special Assistant to the Vice Chairman of the FDIC. Susan was lead instructor for the FDIC’s technology school. She currently consults for security providers and performs IT security/regulatory reviews for financial institutions.

Credit Information

Institute of Certified Bankers: Visit http://www.icbmembers.org/login.aspx for instructions regarding self-reporting. Estimated credits: 7 hrs./day CRCM/CFSSP


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