File Maintenance Report
Employee at a credit_union ($615MUSA)
Does anyone have a sample of a File Maintenance Report that they would be willing to share? Thanking you in advance.
FinCEN Advisory 7/7/2020 FIN-2020-A-003
SVP at a bank ($2.4BUSA)
Advisory on Imposter Scams and Money Mule Schemes Related to Coronavirus Disease 2019 (COVID-19)
Expiring ITINs on NRAs and RAs
SVP at a bank ($3.3BUSA)
Was curious to know what other FIs did to determine if they had any expiring ITINs on file since some may have expired on January 1? If you had them, how did you determine that and what steps were taken to correct it?
EOS Scorecard for Compliance
Employee at a bank ($239MUSA)
For those of you whose bank utilizes the EOS Traction model for their meetings, what types of measurements are you using for you scorecard/measurables when it comes to your compliance department/compliance officer? I don't want to just lob softballs for my measurables but compliance isn't always measured in numbers … any one use yes/no measurables? This one really has me stumped and would greatly appreciate any ideas or thoughts you have to share on it!
Fortinet firewall
SVP at a bank ($390MUSA)
Anyone out there using a Fortinet firewall with the analyzer. Do you like the firewall and analzyer? What will I need to include with it? Does it take the place of a company reviewing/notifying logs?
Mobile Deposit Disclosures/Agreements
Manager at a bank ($111MUSA)
I am wondering if anyone has Mobile Deposit procedures and Disclosures or Agreements they are willing to share?
Training
Employee at a bank ($2.2BUSA)
Good Morning,
Does anyone have any resources for Suspicious Activity Monitoring? We have a newer hire and we would like to offer a refresher course/back to basics on suspicious activity monitoring. Any training material would be greatly appreciated.
Thank you.
Does anyone have any resources for Suspicious Activity Monitoring? We have a newer hire and we would like to offer a refresher course/back to basics on suspicious activity monitoring. Any training material would be greatly appreciated.
Thank you.
Reg P Board Training
Employee at a bank ($488MUSA)
Can anymore share a document of what they provided to the board for Reg P Training?
Second-line Risk Testing / Risk Matrix Template
AVP at a bank ($102MUSA)
Hello,
I am in the process of developing out the second-line of defense testing scripts for risk mgmt areas (deposits, BSA, Lending/Credit, finance, etc) and documenting the specific controls. Is anyone willing to share their process, test scripts with what questions/items you review? Or a risk control matrix/template that outlines risks and controls common to the community banks.
Thank you,
Maria
I am in the process of developing out the second-line of defense testing scripts for risk mgmt areas (deposits, BSA, Lending/Credit, finance, etc) and documenting the specific controls. Is anyone willing to share their process, test scripts with what questions/items you review? Or a risk control matrix/template that outlines risks and controls common to the community banks.
Thank you,
Maria
BAM+ Outgoing Wires
VP at a bank ($169MUSA)
We are in the implementation process of BAM+ and seem to have an issue with formatting when uploading the outgoing wire file. Is anyone using Compass Bank for outgoing wires that has or had an issue getting the information into BAM+? If so, what had to be done to correct the issue?
FHA Servicing Checklist
Employee at a credit_union ($1.1BUSA)
Hello, does anyone have a FHA Servicing Checklist they would be willing to share?
Thank you!
Thank you!
International Transportation of Currency CMIR
Manager at a bank ($842MUSA)
Does anyone currently have any policies/procedures around "CMIR" that you would be willing to share? I have looked at the FFIEC BSA exam manual for assistance, that was not much help. So any information provided will be helpful.