GACHA - Audit Services

compliance Services - ACH Audit | RDC Audit | RISK ASSESSMENT |

Audit Request Form

Schedule any 2 services and receive 10% off the final bill.

(use form below)

ACH Audit

NACHA requires that all participating Depository Financial Institutions and third-party service providers that provide ACH services conduct an Annual ACH Audit to be performed by December 1 of each year (ACH Rules, Appendix Eight, Section 8.1, OR 144).

Who better to conduct your annual ACH audit than your resource for electronic payments information and training? A GACHA Accredited ACH Professional (AAP) can conduct your annual ACH audit and examine each facet of your ACH operation.

GACHA’s Audit Services include:

Pre-audit checklist
Performance of audit requirements as required by Appendix Eight of the ACH Rules
Review of operating procedures and internal controls
Review of balancing and reconciliation functions
Written ACH Audit Management Report with findings and recommendations for improvement at the conclusion of the audit
Audit Certification form (to present if audited by NACHA)

2010 Audit Certification Form

If you decide to do your audit internally, don’t forget to order the GACHA ACH Audit Guide available in our Publications store under the Risk category.

ACH Risk Assessment

Under NACHA’s new “ACH Risk Management and Assessment” rule, each financial institution will be required to 1) perform a risk assessment of their ACH activities, and 2) implement risk management programs in accordance with “the requirements of their regulators". Additionally, financial institutions that originate ACH transactions will be required to make several modifications to any new or renewed agreements with originators or third party senders, and to employ a number of new risk management practices with those parties. The New Rule is effective June 18, 2010 and you should expect verification of compliance as part of your next ACH Audit and Regulatory Examination.

Thorough assessment of ACH activities & risk management program
Formal Written Report including Risk Rating Matrix
Onsite review period (minimum of 1 full day)
ACH Volume report for 12 months following the assessment
Pre-Assessment Worksheet & Checklist
Review of originator agreements to ensure compliance with new requirements
Exit interview
Schedule Risk Assessment with your ACH Audit & RDC Assessment and save up to 15%

If you decide to do your Risk Assessment internally, don’t forget to order the GACHA ACH Risk Assessment Guide available in our Publications store under the Risk category.

Remote Deposit Capture Compliance Assessment

Does your financial institution offer Remote Deposit Capture? Have you read the FFIEC Guidance on Remote Deposit Capture? In order to analyze your RDC compliance and risk management procedures take advantage of GACHA’s RDC Audit Services.

Pre-audit checklist
Review of compliance with FFIEC Guidance
Review of operating procedures and internal controls
Review of balancing and reconciliation functions
Written RDC Audit Management Report and recommendations for improvement at the conclusion of the audit
Audit Certification form

Compliance Services Request Form

Submit form below and GACHA Staff will contact you with pricing information.

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