I was curious to see what other bank depts work new account opening document quality control. Right now our deposit banking operations dept. reviews all new account forms for quality and completeness however I am curious to see if other banks have their compliance team or branch managers help with this duty? I am also interested to learn what depths other banks go into when reviewing all new account forms for quality control. Thank you!

also done in our deposit operations area. all forms requiring signature are reviewed for completeness and legibility. also review for required forms, surprising how many bankers still don't complete all proper IRS forms. when there are exceptions, notification goes back to the banker and their manager to correct

Ours is done in our deposit operations also. CIP information reviewed along with necessary documentation. We maintain a Technical Exceptions list that each banker is required to work and clear. Working on a new system, but right now that is what we do.

see if other banks have their compliance team or branch managers help with this duty?

Branch managers? That is like asking the fox to police the chickens.

Compliance Team? That totally depends on your organizational structure and what you mean by Compliance Team. In many banks, the compliance team fills only a support and guidance role and they are not auditors or checkers.

Wonderful, thank you so much everyone, I appreciate it so much!