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Flagship Bank Minnesota

Regulatory Compliance Calendar
Contributed by:VP‚ Compliance/BSA/Legal
Asset size: Bank with under $250m
Location: Southeast
Description: This a a Regulatory Compliance Calendar that is updated the beginning of each year and provided to all compliance managers on different compliance activities that are due throughout the year (e.g., HMDA LAR due, annual security report due, annual privacy mailing). It includes the Due Date, Compliance Activity, Description, Manager, and Completed columns. It can be customized to your Bank's needs and is very helpful in keeping on track for all the compliance activity due dates throughout the year (we discuss at each Compliance Committee meeting).



29 Documents 12 Answers 21 Exam Watches 42 Vendor Reviews

Regulatory Compliance Policy
Asset size: with under $250m
Description: Regulatory Compliance Policy with directives for the BOD, Management and essentially a job description for the Compliance Officer.
Board Training on Regulatory Compliance
Asset size: with over $1b
Description: This Powerpoint presentation is used to train our board on the basics of regulatory compliance regulations including Dodd Frank.
Compliance Calendar
Asset size: with between $500m - $1b
Description: This calendar lets you enter all tasks for the year in one easy to track monthly calendar format. Each month lists Ongoing Tasks, Special Projects, Monthly Monitoring, Audits, Training and Policy Requirements. IT IS VERY BANK SPECIFIC. YOU WILL NEED TO ADJUST TO YOUR OWN COMPLIANCE PROGRAM.

Compliance Program
Asked by: Compliance/BSA/Legal
Asset size: Bank with

Our bank has divided the compliance into Deposits and Lending. I am new to the world of Compliance and have been working with someone less than a year. She is almost ready to retire and that will leave me doing Lending Compliance alone. We do have a Compliance Committee but, most of the Compliance has been handled by this one individual. My question, Is there a system in which I can get myself organized and not feel so overwhelmed?
Answered by:VP, ‚ Compliance/BSA/Legal
Asset size: Bank with under $250m
Location: KY

Don Kottke gave a very good answer.

When I came to this bank which is very simul...
Compliance Audit and Training Schedule
Asked by: Manager,‚ Compliance/BSA/Legal
Asset size: Bank with

Looking for a layout of which areas of compliance are required to be audited and trained on annually to make sure we are not missing anything.
Answered by:Manager, ‚ Compliance/BSA/Legal
Asset size: Bank with under $250m
Location: TN

I have an audit schedule I can email you....

FDIC - Compliance | June 2012
exam experience posted by a VP‚ Lending/Credit/Loan Admin from member with under $250m in assets
They spent a great deal of time critizing our monitoring procedures and how this information was reported to the Board.
FDIC - BSA/AML | November 2012
exam experience posted by a VP‚ Compliance/BSA/Legal from member with under $250m in assets
CTR (prior paper forms) - Dates that the FDIC showed they were received - we sent them on time but their dates showed over the time limit - we asked for proof since we have no control of the post office or their logging process
OCC - Compliance | June 2013
exam experience posted by a AVP‚ Compliance/BSA/Legal from member with between $250m - $500m in assets
They pretty much stuck to the areas that they had requested to review.

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