Examiner-in-Charge Dec 2022

Internal Use Only

Pre-Planning

Initial Contact with Management • Introduction • Sooner rather than later

Familiarize Yourself with the Bank • Internal and external documents • Conversations with examiners and bank management

Identify Key Risk Areas. • Draw conclusions on risks,

examination strategy, and assignments

3

Internal Use Only

Pre-Planning Continued

Requesting Examination Information • Draw conclusions on risks, examination strategy, and assignments

Determine Staffing • Subject matter experts • Sufficient to complete a timely examination

Creation of Scope Memo

• Varies by department • At a minimum, should cover • Institutional overview • Risk assessment • Discussions with Management • Prior examination findings • Financial analysis • Assignments/logistics

4

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