Operations Tools

Guide for Brainstorming for Risk Analysis

09/01/2005

A starter document for assessing risk areas on major lines of business within the bank.

Disaster Recovery Contact Information Handout for Customers

09/01/2005

Handout for disaster preparedness by individuals. This contains contact information for services and documents.

High Risk Entities Worksheets

06/01/2005

These worksheets help risk rate existing account relationships for BSA risk. The criteria defined will also assist in training.

New Employee Compliance Training PowerPoint

06/01/2005

This is a PowerPoint presentation designed to acquaint new employees with basic compliance requirements.

Customer Information Risk Profile

06/01/2005

Form - Customer Information Risk Profile, helps CSRs get necessary information for risk rating accounts.

CIP - Risk Analysis Worksheet

03/01/2005

This is a CIP risk analysis worksheet for new and existing accounts.

Disaster Recovery - Hypothetical Situations

01/15/2005

Disaster recovery fact-based scenarios for training and policy development.

Funds Verification Procedures

01/15/2005

Funds Verification Procedures

Reg CC PowerPoint Slides

01/15/2005

Basic Reg CC PowerPoint presentation.

SKIPO Training Game

01/15/2005

A compliance training game, SKIPO Jeopardy is used to train staff on Suspicious Activity, Know Your Customer, Information Security, Privacy/Identity Theft, and OFAC.

Cash and Teller Operations - Night Drop & Mail

01/15/2005

A checklist of procedures to follow in connection with the night depository function.

Electronic Funds Transfer Act PowerPoint Slides

01/15/2005

Reg E training PowerPoint on basic provisions of the Reg.

EIN and SSN Background

01/15/2005

A detailed explanation about naming conventions and how EINs and SSNs work.

Audit Program for Fedline Advantage

01/15/2005

An audit program for Fedline Advantage

Alien Identification Procedures

01/15/2005

Information for proper identification of alien customers and risk assessment data relating to lending to aliens.

Affidavit of Forgery

01/15/2005

Sample form for the drawer of a check to attest that a forgery has taken place.

Claim Form/Declaration of Loss

01/15/2005

Sample form - Claim Form and Declaration of Loss for items such as cashier's checks.

Affirmative Action Plan Checklist

01/15/2005

A checklist to help ensure all the components of your Affirmative Action Plan are included in your document.

Affidavit of Check Alteration

01/15/2005

Sample form - Affadavit of check alteration.

CIP Lobby Notice Sample

01/15/2005

Sample lobby notices about CIP.