Banks and Financial Institutions

Our Bank and Financial Institution Group consist of experienced assurance and tax professionals. This group stays abreast of changing trends and unique issues facing the financial industry. We proactively research and implement cutting edge strategies, as well as technology and procedures to help provide a competitive advantage for our clients.

Our financial clients are facing intense competition, increased regulations, changing customer expectations, TARP fund requirements and heightened merger and acquisition activity. As this operating environment becomes increasingly complex, our clients must focus on key drivers for greater growth and profitability. Brody & Associates Bank and Financial Institution Group is structured to help clients cope with the realities of the marketplace.

We provide proactive solutions in areas vital to the strategic and financial success of our clients, covering a wide spectrum of specialized professional services including:

Internal Audit Services

  • Partial or Full outsourcing
  • Process Mapping to Assist Management in Assessing Internal Controls
  • Co-Develop Audit Universe and Audit Plan to Comply with Regulatory Expectations
  • Execute Internal Audit Plan that will also Assist Management in Documenting Testing of Internal Controls for PCAOB and FDICIA Purposes

Risk Management

  • Network Security Risk Posture Analysis
  • Network Penetration Studies (Hacker Testing), Security Architecture & Engineering
  • Information Security Policy Development and Review
  • SAS 70 Third Party Reviews
  • Disaster Recovery and Controls Testing

External Audit

  • Experience Dealing with Complex Accounting and Reporting Issues Unique to the Industry