15 Errors to Avoid When Conducting Internal Investigations


Presented by: Barry Thompson                  
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This CD ROM will be available after April 7, 2022.

Internal embezzlements, where two or three people could be the embezzler, causes management to panic. This results in the wrong people being assigned to conduct the investigation. Internal Audit, Human Resources, and the Security Department get into a conflict on who should handle the investigation. Internal Audit believes they should do it because they are the boards investigating arm. Human Resources believe they should handle it as they are involved directly with the staff. The Security Department knows they should handle since they conduct the financial institution's investigations. Who should handle it? The person trained on how to conduct an internal fraud investigation! If no one is trained, management needs to go outside of the institution to retain a seasoned Certified Fraud Examiner.

The financial institution needs an action plan before an incident occurs.

  1. Have you taught the warning signs of internal fraud to staff?
  2. What are the lines of communication when staff thinks something is wrong?
  3. Do you protect employees who report internal problems from future retaliation?
  4. How do you make the ethics policy work for you?
  5. Have you determined if you are going to suspend suspects with pay during the investigation?
  6. Know how to handle incidents of management interference when conducting an investigation?
  7. Management contacts the accounting firm for help! Know if that is the right answer for your organization.
This program provides you with a road map to handle an internal fraud incident at your financial institution. Know the problems banks have experienced before you determine who should be assigned the internal embezzlement case.

Who Should Attend: Auditors, Compliance, Risk Management Staff, Security Officers, Senior Management, anyone responsible for Security or internal fraud

This program was recorded in its entirety in March 2022. The CD-ROM includes program slides, materials (if available)and follow-up Q & A document.

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  • Model: cd_internal0322
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This product was added to our catalog on Thursday 03 February, 2022.

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