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Company over all IT Infrastructure Audit

I. Regulatory Compliance

Review adherence to insurance-specific regulations (e.g., NAIC guidelines, Solvency II).

Verify compliance with data privacy laws applicable to insurance (e.g., CCPA, GDPR).

Assess compliance with anti-money laundering (AML) and fraud prevention regulations.

Evaluate the effectiveness of audit trails and logging mechanisms for compliance purposes.

II. Risk Management Framework

Assess the organization’s risk management policies and procedures.

Evaluate the identification and assessment processes for potential IT risks.

Review business continuity plans specific to insurance operations.

Ensure regular testing of disaster recovery plans and incident response strategies.

III. Data Protection and Privacy

Review data classification policies for sensitive customer information.

Ensure proper encryption practices for sensitive data at rest and in transit.

Assess data access controls and user authentication mechanisms.

Evaluate procedures for data retention, deletion, and recovery in compliance with regulations.

IV. Core Insurance Systems

Inventory all core insurance systems (policy management, claims processing, underwriting).

Review integration and interoperability between systems.

Assess system performance and uptime metrics.

Evaluate vendor support and service agreements for core systems.

V. Cybersecurity Measures

Conduct a thorough review of cybersecurity policies and protocols.

Assess the effectiveness of firewalls, intrusion detection/prevention systems, and endpoint security.

Review incident response plans and past incident handling performance.

Evaluate employee cybersecurity training and awareness initiatives.

VI. Third-Party Vendor Management

Inventory all third-party vendors providing IT services or software.

Assess vendor risk management and compliance practices.

Review service level agreements (SLAs) with critical vendors.

Evaluate the process for monitoring vendor performance and compliance.

VII. Cloud and Data Storage

Inventory all cloud services used for storing insurance data.

Assess cloud security measures and compliance with industry standards.

Review policies for data migration and backup in cloud environments.

Evaluate disaster recovery provisions for cloud-based systems.

VIII. Network Security and Architecture

Review network architecture for efficiency and security best practices.

Assess segmentation and monitoring of the network for sensitive insurance data.

Evaluate the effectiveness of network access controls and policies.

Conduct penetration testing to identify potential network vulnerabilities.

IX. Performance and Scalability

Review system performance metrics and service level agreements (SLAs).

Assess scalability of IT infrastructure to support growth in insurance operations.

Evaluate resource usage and optimization strategies across systems.

Identify bottlenecks and areas for improvement in system performance.

X. Continuous Monitoring and Improvement

Establish a framework for ongoing monitoring of IT infrastructure performance.

Collect feedback from stakeholders on IT services and operational effectiveness.

Set measurable goals for IT improvement based on audit findings.

Document lessons learned for future audits and continuous improvement initiatives.

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