Operations Tools

BOLlywood Squares

01/15/2005

BSA/OFAC/Privacy/InfoSec training games for various staff levels in the bank.

Training Calendar

01/15/2005

Planning calendar for required training.

Alerts & Counterfeits

01/15/2005

Consolidated database of regulatory agencies alerts and counterfeit items.

Release of Claim Forms

01/15/2005

Release of liability forms when claims are withdrawn for a Reg E error or forgery.

314(a) Compliance Checklist

01/15/2005

Worksheet for documenting 314(a) searches.

I.D. Theft Procedures and Customer Claim Form

01/15/2005

Identity theft procedures and claim forms.

314(a) "What to Search" Cheat Sheet

01/15/2005

Cheat sheet on areas to review for 314(a) inquiries.

CIP - ID Workflow Charts

01/15/2005

Two identification workflow charts: one for individual accounts and one for business accounts.

314(a) Documentation Spreadsheet

01/15/2005

This spreadsheet outlines the seven areas which must searched in connection with processing Section 314(a) search requests from FinCEN.

OFAC Procedures

01/01/2005

Two sets of OFAC procedures: one is for the bankers, and one is for the operations center.

BSA Exemption Review

01/01/2005

BSA Exemption Review Form designed for account officers in documenting eligibility for exemption under Phase II rules.

BSA/CIP Awareness Signs

01/01/2005

Three signs to increase awareness of the importance of BSA and CIP compliance.

Foreign Naming Conventions

01/01/2005

This will assist in understanding naming conventions from various nationalities. This can make BSA/OFAC issues easier to address.

Human Resources Review

01/01/2005

A questionnaire designed to ensure that six different areas of HR are properly reviewed.

New Account Risk Assessment Worksheet

01/01/2005

This worksheet will assist in risk-rating new commercial accounts.

Know Your Money

12/15/2004

The two linked pages are self-scoring quizzes. Answers are entered by clicking the button corresponding to your selection on each question. .

Reg D Chart - Limitations on Withdrawals and Transfers from Savings Deposits

01/01/2003

Cheat Sheet for transfer limits from savings accounts, including Money Market Deposit Accounts.

MSB Review and Risk Analysis Worksheet

06/01/2002

This is a two-page form for performing and documenting a review and risk assessment of MSBs.

Disaster Recovery Guidelines

03/01/2002

Guidance for developing and maintaining an effective disaster management plan.

Hold Harmless Letter

03/01/2001

Sample hold harmless (indemnification) letter.