A starter document for assessing risk areas on major lines of business within the bank.
Handout for disaster preparedness by individuals. This contains contact information for services and documents.
These worksheets help risk rate existing account relationships for BSA risk. The criteria defined will also assist in training.
Form - Customer Information Risk Profile, helps CSRs get necessary information for risk rating accounts.
This is a PowerPoint presentation designed to acquaint new employees with basic compliance requirements.
This is a CIP risk analysis worksheet for new and existing accounts.
A detailed explanation about naming conventions and how EINs and SSNs work.
An audit program for Fedline Advantage
A compliance training game, SKIPO Jeopardy is used to train staff on Suspicious Activity, Know Your Customer, Information Security, Privacy/Identity Theft, and OFAC.
Reg E training PowerPoint on basic provisions of the Reg.
Basic Reg CC PowerPoint presentation.
Sample form - Claim Form and Declaration of Loss for items such as cashier's checks.
A checklist to help ensure all the components of your Affirmative Action Plan are included in your document.
Sample form - Affadavit of check alteration.
Sample lobby notices about CIP.
Funds Verification Procedures
Two identification workflow charts: one for individual accounts and one for business accounts.
Checklist of functionality desired for Check 21, vendor due diligence.
3 tools developed for use with overdraft protection products: a matrix that analyzes the applicability of Regs E and Z to the product, a repayment plan agreement for commercial account overdrafts, and an installment repayment plan agreement for consumer customers.
Sample form for the drawer of a check to attest that a forgery has taken place.