ACH Compliance Audit 


Is your financial institution in compliance with the NACHA requirement that all participating financial institutions, Third-Party Service Providers and Third-Party Senders conduct an annual audit of compliance with the ACH Operating Rules

Subsection 1.2.2 Audits of Rules Compliance

A Participating DFI must annually conduct, or have conducted, an audit of its compliance with these Rules in accordance with Appendix Eight (Rules Compliance Audit Requirements).  A Third-Party Service Provider or a Third-Party Sender that has agreed with a Participating DFI to process Entries must annually conduct, or have conducted, an audit of its compliance with these Rules in accordance with Appendix Eight (Rules Compliance Audit Requirements).

Using proven methodology developed by industry experts, we can perform your annual ACH audit quickly and efficiently at a very competitive rate. We can perform the audit onsite or remotely; the choice is yours!

At the conclusion of the audit we will provide you with a summary of findings, specifying areas where you did, or did not, meet the criteria for a successful audit. We identify procedures and controls that need strengthening, and recommend steps to help reduce risk.  All audits include an exit meeting to review findings.

The scope of our audit has been improved and enhanced and is based on the ACH Rules identified in Articles 1 – 3 of the NACHA Operating Rules.  In addition to reviewing the financial institution’s compliance with the NACHA Operating Rules, we also review and ensure compliance with 31 C.F.R. Part 210 (Federal Government payments), Regulations CC, D, E and GG.  We also assess the thoroughness and accuracy of written policies and procedures as well as adherence to OFAC screening requirements.

 

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Pam Rodriguez, AAP, CIA, CISA,
President & CEO  
prodriguez@epayadvisors.com
800-475-0585 ext. 1603