Where can I find a list of people who are banned from banking?
Our HR employee was at a seminar last week and after some discussion with other bankers, each year they and we have employees complete a Personal Profile sheet. Information needed is employee name, spouse, children's name in the household, vehicles you drive, among other things. We are a small community bank. The other banks she talked to said they were discontinuing this practice. Do you think we need to continue to have these completed every year or at all?
Can our bank prohibit (or strongly discourage) employees from listing their bank name on their personal Facebook page?
We have an person applying for a job and on his/her background their was a non-financial, non-felony crime that happened over 25 years ago. The person received 3 years of probation. How do we interpret that for #1 requirement?
Requirements without an FDIC request are all of the following:
1. Imprisonment < 1 year (Not sure how to interpret this does it count as 3 years imprisonment even though probation (see #3 which would lend credence to this interpretation)?
2. Fine < $1000
3. No jail time served
4. > 5 years ago
5. Not involving a financial institution or CU
I was wondering if bank's thought posting a sign at the entrance to their lobby requesting hats, hoodies and sunglasses to be removed as well as no guns being allowed in the branch was a good thing or not. Also, what do other banks policies state about employees being allowed to carry guns in the bank if they have a permit to carry them.
Is there ever a time a financial institution shouldn’t conduct an in-house internal embezzlement investigation?
Today I was notified of a large internal embezzlement and I have only had a couple of hours to begin the investigation. Senior management wants to know when how long it will take me to find the culprit. How should I respond to them?
Can you name some events that could increase the risk for an internal embezzlement?
Among my many duties, I hold the title of Security Officer. I suspect a person on our staff is involved with something odd, potentially internal fraud. What should I do?
We have a frequent debate in our organization about how much of a background check is necessary for our employees, and whether or not we should perform background checks when a person is promoted or transferred. Can you please offer guidance on regulatory obligations or industry standards for background investigations?