ACH Audits & Risk Assessments

Strengthen your ACH operations in compliance, risk controls, and efficiency. Allow your trusted SFE advisors to conduct your annual ACH Audit and recommended Risk Assessment.

Find the details of service you will receive by expanding the sections below. You can also find additional compliance services for financial institutions for thorough reviews of your RDC, Wire Transfer, and Real-Time Payments processes.

When you bundle services or schedule your compliance services to be completed before July 1^st, you are eligible for rate discounts. 

REQUEST FOR PROPOSAL

Remote Deposit Capture (RDC) Risk Assessment and Internal Controls Testing

Evaluation of your institution’s commercial and consumer RDC operations, policies, procedures, processes and an examination of your established risk controls

What RDC Risk Assessment and Internal Controls Testing includes:

• Pre-assessment checklists
• Thorough assessment of RDC activities and risk management program
• Written RDC Risk Assessment Report, including recommendations for improvement
• Review of agreements
• Opening and exit meetings
• Access to assessor for questions

REQUEST FOR PROPOSAL

Tip: Schedule early to ensure availability, efficient preparation time and to avoid additional charges.

Wire Transfer Risk Assessment and Audit of Internal Controls

Evaluation of your institution’s wire transfer operations, policies, procedures, processes, compliance, and an examination of your established risk controls

What Wire Transfer Risk Assessment and Internal Controls Testing includes:

• Pre-assessment checklists
• Thorough assessment of wire activities and risk management program
• Written Wire Risk Assessment Report, including recommendations for improvement
• Review of agreements
• Opening and exit meetings
• Access to assessor for questions

REQUEST FOR PROPOSAL

Tip: Schedule early to ensure availability, efficient preparation time and to avoid additional charges.

Real-Time Payments (RTP) Audit

Examination of your RTP operations as required annually by The Clearing House

What the RTP Audit includes:

• Pre-audit checklists
• Performance of audit as required by The Clearing House
• Written RTP Audit Report, including recommendations for improvement
• Audit Certification Form
• Opening and exit meetings
• Access to auditor for questions

REQUEST FOR PROPOSAL

Tip: Schedule early to ensure availability, efficient preparation time and to avoid additional charges.