Operations Tools

OFAC- Potential Hit Analysis Spreadsheet Sample

01/15/2005

This is a spreadsheet for use in analyzing and documenting potential OFAC hits.

Lobby Notice Requirements Chart

01/15/2005

Chart of required lobby signage.

I.D. Theft Procedures and Customer Claim Form

01/15/2005

Identity theft procedures and claim forms.

Safe Deposit Policy & Procedure

01/15/2005

Safe deposit policy and procedure template.

314(a) "What to Search" Cheat Sheet

01/15/2005

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

Advertising Policy and Procedures (Sample)

01/15/2005

Advertising policy and review procedures.

Training Calendar

01/15/2005

Planning calendar for required training.

Bank of Blunders

01/15/2005

This is a role-playing game for compliance training.

314(a) Compliance Checklist

01/15/2005

Worksheet for documenting 314(a) searches.

New Account Risk Assessment Worksheet

01/01/2005

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

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.

OFAC Procedures

01/01/2005

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

BSA/CIP Awareness Signs

01/01/2005

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

BSA Exemption Review

01/01/2005

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

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.