Click the following for more information on the types of audits.
Surprise - Quarterly
Every teller drawer is required to be surprise audited every quarter including the Vault. The TCR Drawer is audited semi-quarterly. The Internal Control Specialist (ICS) is responsible for the audit.
Audits must be conducted on various days and not all on the same day with the exception of the annual full office audit requirement, however they can be done on the same day at the discretion of the ICS member.
Surprise - Teller Cash Recycler (TCR)
Every TCR drawer is required to be surprise audited to meet the certification requirements.
The Internal Control Specialist (ICS) is responsible for the audit.
DeleteSurprise - Full Office
Each office is required to have a surprise full office audit annually. The Internal Control Specialist (ICS) is responsible for the audit.
Click here for more details on a Surprise Audit - Full Office
Separation or Termination
An audit is required on all drawers assigned to an associate on the last day of employment.
The Lead Teller (LT), Client Experience Manager (CXM/CXMII), or another teller can complete this audit type.
Transfer
An audit is required on all drawers assigned to an associate on the last day the associate works in their designated office.
The Lead Teller (LT), Client Experience Manager (CXM/CXMII), or another teller can complete this audit type.
Other- Explain
An audit may be performed at any time when applicable. An explanation is required.
The Lead Teller (LT), Client Experience Manager (CXM/CXMII), or another teller can complete this audit type.
Out of Balance $2000 or More
An audit must be completed on the device under dual control. The audit can be completed by the Lead Teller (LT), Client Experience Manager (CXM/CXMII), Regional Experience Manager (RXM) or other designated associate.
See Out of Balance - Over/Short for full requirements.
Traveling Associate Audit
Audits are conducted by the Internal Control Specialist (ICS), Lead Teller (LT), or Client Experience Manager (CXM/CXMII) when applicable.
DeleteCCB Cashier's Check & Money Order Stock
The blank safety paper used for Vertex generated Cashier's Check and Money Order is not audited. This check stock is not required to be locked up after business hours.
Delete