Exception Tracking Spreadsheet (TicklerTrax™)
Downloaded by more than 1,000 bankers. Free Excel spreadsheet to help you track missing and expiring documents for credit and loans, deposits, trusts, and more. Visualize your exception data in interactive charts and graphs. Provided by bank technology vendor, AccuSystems. Download TicklerTrax for free.
Operations Tools
Guide for Brainstorming for Risk Analysis
09/01/2005A starter document for assessing risk areas on major lines of business within the bank.
Disaster Recovery Contact Information Handout for Customers
09/01/2005Handout for disaster preparedness by individuals. This contains contact information for services and documents.
High Risk Entities Worksheets
06/01/2005These worksheets help risk rate existing account relationships for BSA risk. The criteria defined will also assist in training.
Customer Information Risk Profile
06/01/2005Form - Customer Information Risk Profile, helps CSRs get necessary information for risk rating accounts.
New Employee Compliance Training PowerPoint
06/01/2005This is a PowerPoint presentation designed to acquaint new employees with basic compliance requirements.
CIP - Risk Analysis Worksheet
03/01/2005This is a CIP risk analysis worksheet for new and existing accounts.
EIN and SSN Background
01/15/2005A detailed explanation about naming conventions and how EINs and SSNs work.
Audit Program for Fedline Advantage
01/15/2005An audit program for Fedline Advantage
SKIPO Training Game
01/15/2005A compliance training game, SKIPO Jeopardy is used to train staff on Suspicious Activity, Know Your Customer, Information Security, Privacy/Identity Theft, and OFAC.
Electronic Funds Transfer Act PowerPoint Slides
01/15/2005Reg E training PowerPoint on basic provisions of the Reg.
Reg CC PowerPoint Slides
01/15/2005Basic Reg CC PowerPoint presentation.
Claim Form/Declaration of Loss
01/15/2005Sample form - Claim Form and Declaration of Loss for items such as cashier's checks.
Affirmative Action Plan Checklist
01/15/2005A checklist to help ensure all the components of your Affirmative Action Plan are included in your document.
Affidavit of Check Alteration
01/15/2005Sample form - Affadavit of check alteration.
CIP Lobby Notice Sample
01/15/2005Sample lobby notices about CIP.
Funds Verification Procedures
01/15/2005Funds Verification Procedures
CIP - ID Workflow Charts
01/15/2005Two identification workflow charts: one for individual accounts and one for business accounts.
Functionality Checklist for Image Exchange Solutions
01/15/2005Checklist of functionality desired for Check 21, vendor due diligence.
Overdraft Protection Tools
01/15/20053 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.
Affidavit of Forgery
01/15/2005Sample form for the drawer of a check to attest that a forgery has taken place.