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
OFAC- Potential Hit Analysis Spreadsheet Sample
01/15/2005This is a spreadsheet for use in analyzing and documenting potential OFAC hits.
Lobby Notice Requirements Chart
01/15/2005Chart of required lobby signage.
I.D. Theft Procedures and Customer Claim Form
01/15/2005Identity theft procedures and claim forms.
Safe Deposit Policy & Procedure
01/15/2005Safe deposit policy and procedure template.
Advertising Policy and Procedures (Sample)
01/15/2005Advertising policy and review procedures.
Training Calendar
01/15/2005Planning calendar for required training.
Bank of Blunders
01/15/2005This is a role-playing game for compliance training.
314(a) Compliance Checklist
01/15/2005Worksheet for documenting 314(a) searches.
314(a) "What to Search" Cheat Sheet
01/15/2005Cheat sheet on areas to review for 314(a) inquiries.
Foreign Naming Conventions
01/01/2005This will assist in understanding naming conventions from various nationalities. This can make BSA/OFAC issues easier to address.
New Account Risk Assessment Worksheet
01/01/2005This worksheet will assist in risk-rating new commercial accounts.
Human Resources Review
01/01/2005A questionnaire designed to ensure that six different areas of HR are properly reviewed.
BSA/CIP Awareness Signs
01/01/2005Three signs to increase awareness of the importance of BSA and CIP compliance.
BSA Exemption Review
01/01/2005BSA Exemption Review Form designed for account officers in documenting eligibility for exemption under Phase II rules.
OFAC Procedures
01/01/2005Two sets of OFAC procedures: one is for the bankers, and one is for the operations center.
Know Your Money
12/15/2004The 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
01/01/2003Cheat Sheet for transfer limits from savings accounts, including Money Market Deposit Accounts.
MSB Review and Risk Analysis Worksheet
06/01/2002This is a two-page form for performing and documenting a review and risk assessment of MSBs.
Disaster Recovery Guidelines
03/01/2002Guidance for developing and maintaining an effective disaster management plan.
Hold Harmless Letter
03/01/2001Sample hold harmless (indemnification) letter.