BSA "Flash" Training The Edcomm Group provided a five question quiz to test your knowledge of when to use a SAR, MIL and CTR. This is a flash based game for the user to play within their web browser.
BSA Jeopardy Training Game
BOL User Jennifer Foote, First National Bank in Manitowoc, WI had an idea. She wanted to create a BSA Jeopardy game to use in training. But she wasn't sure how to do it. Andy Z suggested linking worksheets in Excel and offered to put it together with her help on the questions and answers. Oops, sorry, this is Jeopardy, the answers and the questions. Jennifer used it soon after it was done and said it was very successful. Now it is being shared with you.
There isn't a PDF version because of the way the links were set up and the way it is written so as to appear on screen better. It is password protected, but the password is blank, there isn't one. You'll need to remember this so you can customize it.
BSA Jeopardy (.xls, an Excel file, right click to save the file to your PC.)
BSA Risk Assessment Tool Set
From Brenda Cantebury, BOL Advisory Roundtable member, we have five documents to assist in risk rating accounts. Related to these is the OCC's BSA Risk Summary Form.
BSA Skits
LaReta Lowther has contributed four case studies/skits to be used in connection with Bank Secrecy Act Training. All four are included in one document.
BSA/AML/OFAC Board Training
--Devil Queen and Empress EGB combined their resources and created two versions of PowerPoint programs that you can use to train your board of directors for the Bank Secrecy Act/Anti-Money Laundering and OFAC. This is meant to be higher level material than is commonly used for BSA staff training and is in two versions so you can choose between more or less detail. The second version has one additional slide, 26 in total. But the contents of the slides are different, so you have a choice. There are even speaker's notes to assist you along the way.
SKIPO Training Game
BOL Users Leslie Callaway and Melissa Langley (Sandy Spring Bank) have shared a game they created -- SKIPO Jeopardy -- to train their employees on Suspicious Activity, Know Your Customer, Information Security, Privacy/Identity Theft, and OFAC. Try it -- and let them know what you think! (There are two sets below -- choose from PDF or Word .doc)
314(a) "What to Search" Cheat Sheet
Make sure you're searching through everything you need to be searching through. Use Mary Beth Guard's cheat sheet for what to search under 314(a).
Section 314(a) Records Requests
To help you respond in a compliant manner to Section 314(a) search requests your institution receives from FinCEN, we've created a list of Do's and Don'ts.
314(a) Documentation Spreadsheet
BOL user Peg Eekhoff has created a spreadsheet to be used in connection with processing Section 314(a) search requests from FinCEN. It outlines each of the seven areas a financial institution must search, and makes it easy to document that the search was performed.
CIP Account Opening Worksheet -- Another BOL user contributed a worksheet developed by his operations area to be used for accounts opened in circumstances where the applicant is not present in person or all signers are not present.
Alien Identification Procedures
BOL User Leslie Callaway has contributed information that relates to identification of alien customers and risk assessment data relating to lending to aliens, from diplomats to NRAs.
Authorization Report Form for Pulling Consumer Report on Authorized Signers on Business Accounts
Know who you're dealing with on business accounts. Obtain authorization to pull a credit report on the authorized signers. Consumer Report Authorization for Authorized Signers on Business AccountsChecklists for CIP by Ken Golliher and Mary Beth Guard
CIP - ID Workflow Charts -- John Irving with The Banker's Benchmark Company has contributed two identification workflow charts -- one for individual account holders and one for business account holders. They provide a visual reminder of the steps to be taken during the account opening process.
>Lobby Notice, CIP Samples
Tina Sweet-Williams and Karen Stephenson have each furnished a sample of a lobby notice to inform customers about the customer identification requirements.
Customer Identification Program Policy (samples) -- Two BOL Users, Elena Little and Tina Sweet-Williams, have contributed samples of their own customer identification program policies. Get ideas for how to write or tweak your own!
Tina A. Sweet-Williams' policy -- revised 10/26/02:
Who The Customer is for CIP Purposes - This tool originated in a discussion on Bankers' Threads and is intended to serve as a starting point, rather than a comprehensive guide, to determining who is the customer for CIP purposes.
OFAC- Potential Hit Analysis Spreadsheet Sample Because her bank has experienced a large number of false positives with the OFAC list, BOL Advisory Roundtable member Bonnie Mizrahi developed a spreadsheet for use in analyzing and documenting potential hits. In it, she details why a particular customer is not a true match for the name on the OFAC list. By using this as a sample, you can develop a similar tool for your own institution.
SAR Suspicious Activity Investigative Report Form
In response to an examiner's recommendation, Allan Virr, BOL Advisory Roundtable member, developed this form for all investigations, regardless of whether or nor a SAR is filed.
Suspicious Transaction Form
BOL User Michelle Nuckols, with Pierce Compliance Consultants, Inc. in Rockville, VA, created a tool originlly designed for BSA training. It is intended to help tellers, CSRs, loan officers, operations employees, and others compile their thoughts and pass along adequate information so that a SAR may be filed accurately, and in a timely manner.
As it evolved, the document helps that person filing the SAR, determine if there is sufficient cause. The document is then retained and helps support the decision and potentially influence similar decisions in the future.
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SKIPO Training Game
