Branch Audit Checklist

Use this template to review branch cash controls, teller operations, security, disclosures, and exception remediation.

Template Metadata

Audit Scope

Identify branch, audit date, period reviewed, auditors, and prior findings.

Notes

[Add context, assumptions, exceptions, evidence links, screenshots, calculations, or reviewer comments.]

Cash and Vault Controls

Test vault limits, teller cash counts, dual control, bait money, logs, and surprise count evidence.

Notes

[Add context, assumptions, exceptions, evidence links, screenshots, calculations, or reviewer comments.]

Teller and Deposit Operations

Review holds, overrides, negotiable items, CTR referrals, dormant accounts, and balancing reports.

Notes

[Add context, assumptions, exceptions, evidence links, screenshots, calculations, or reviewer comments.]

Security and Physical Controls

Inspect alarms, cameras, keys, combinations, night drop, visitor logs, and opening or closing procedures.

Notes

[Add context, assumptions, exceptions, evidence links, screenshots, calculations, or reviewer comments.]

Customer Disclosures and Notices

Verify required lobby notices, fee schedules, privacy notices, and product disclosures.

Notes

[Add context, assumptions, exceptions, evidence links, screenshots, calculations, or reviewer comments.]

Exceptions and Root Cause

Document exceptions, policy references, risk level, owner, and corrective actions.

Notes

[Add context, assumptions, exceptions, evidence links, screenshots, calculations, or reviewer comments.]

Auditor Signoff

Capture branch manager response, auditor conclusion, and follow-up date.

Notes

[Add context, assumptions, exceptions, evidence links, screenshots, calculations, or reviewer comments.]