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Compliance Checklist

“Implementing technology (developing interfaces, storing data, and communicating with divergent entities) are all easily accomplished in today’s technological environment... It is Security and Compliance that now keeps the CIO up at night!”

~ Ken Sole

Compliance Checklist

Let KJS help you meet all of your compliance requirements and provide peace of mind… Is your financial institution prepared to pass its next Information Technology Audit?

  • The Compliance Objectives:
    • Gramm-Leach-Bliley
    • Patriot Act
    • FDICIA
    • FFIEC
    • FDIC
    • Office Thrift Supervision (OTS)
    • Office of the Comptroller of the Currency (OCC)
    • Sarbanes Oxley (SOX)
  • The KJS & Associates, Inc. Solutions:
    • Produce required manuals/documentation
    • Design/produce required forms
    • Establish required controls
    • Obtain required approvals
    • Board of Directors
    • Management
    • Committee
    • Implement process and procedures
  • The Requirements:
    • Contingency Management/Business Continuity Plan
    • Core Processing
    • Information Security Program
    • Networks
    • Electronic Banking/Alternative Delivery Systems
    • Item Processing
    • User Departments
    • Test Methodologies/Results
    • I.T. Policy Manual
    • Steering Committee
    • End User Computer Standards and Procedures
    • Classifications of Data
    • Risk Assessment
    • Security Manual
    • Strategic Technology Plan
    • Procedures Manual
    • Incident Response
    • Vendor Management Programs
    • Network Security Provisioning
    • Hardware and Software Purchase Guidelines
    • Destruction of PC’s
    • Backup Standards and Procedures
    • Change Management
    • Equipment Inventory
    • Software Inventory/Licenses
    • Technology Overview/Guide
    • Special Forms Manual
    • Contracts Inventory/Renewal Controls
    • SSAE16 Reviews/Signoffs
    • Off-site Storage Procedures/Inventory
    • Board Review/Approval Schedule