Conducting Successful HR Audits
Regular HR audits will proactively help your bank avoid potential lawsuits, liabilities and losses.

They can also identify deficiencies in your program. This webinar outlines steps for an internal HR audit from the planning stage to the exit meeting and final report.

It’s important to regularly conduct HR audits as it is a proactive measure to keep the bank out of hot water in relation to wrongful termination, harassment or discrimination claims and lawsuits. In addition, a successful HR Audit is also a tool that can identify HR successes as well as deficiencies. The results of the audit can be used to make improvements and enhance certain areas of HR.


  • Planning – meetings, coordinating date and time of audit, determining scope
  • Collecting documents & data – establishing a list of documents and data to collect from HR in a timely manner that is clear and concise. Understanding if some documents are paper, electronic or off site and allowing for time to retrieve documents.
  • Sample testing – sample selection and sizes vary for different sections, the amount of samples and sample make up.   
  • Auditing – document review, sample testing, audit inquiry, discussion with HR on observations.            
  • Exit Meeting
  • Final draft report     


Bank internal auditors seeking knowledge of the basics of an internal HR audit that include the tools and techniques from the planning stage to the exit meeting and final report.


Caroline Gabriel, provides human resource audit and compensation and benefits consulting services. She has 15 years of broad-based experience supporting benefits and payroll initiatives through improvements in human resource management. Areas of expertise include: Risk Assessment for employment law compliance, Risk Assessment for Health & Welfare and Retirement Benefit plans, Benefit Administration, Payroll Administration, and Annual audits and testing including 401(k) Non-Discrimination Testing and Audits and 5500 Processing/Filing.

Patrick J. Cole SPHR, CCP, SHRM-SCP, has 14 years of experience with Crowe Horwath LLP, and over 25 years of HR leadership experience with three industry leaders all ranked among “100 Best Companies to Work for In America.”  Patrick has a wealth of experience in compensation design, updates, and audits for base, incentive, executive and board compensation. He also specializes in organizational and leadership assessments for effectiveness and roles and responsibility fulfillment and HR strategy and process design for organizational strategic alignment and employment law compliance. 

Credit Information

Institute of Certified Bankers: Visit http://www.icbmembers.org/login.aspx for instructions regarding self-reporting. Estimated credits: 2 hours/session


Live Webinar:

Member price: $275.00 | Non member price $550.00

On-Demand Webinar

Member price: $295.00 | Non member price $590.00


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