Compliance Tools

FRB Consumer Compliance Handbook

03/01/2006

Link to the FRB's Consumer Compliance Handbook.

Audit Sampler

03/01/2006

To give your audits statistical validity you must have a method of determining the sample. This Excel spreadsheet will give your findings a 90 percent accuracy rate based on the number of items reviewed and the interval of the items selected.

Community Banker's Guide to Hispanic Marketing

02/01/2006

An excellent overview of the diverse, but often overlooked, Hispanic market and possible solutions to marketing to Hispanics.

Risk Rating Customers

02/01/2006

PowerPoint on risk rating customers.

BSA/AML/OFAC Board Training

02/01/2006

Bank Secrecy Act/Anti-Money Laundering and OFAC PowerPoints to train your board of directors. There are two versions so that you can choose between more or less detail in the slides.

Insurance Disclosures - Reg. Z & Consumer Protection in Sales of Insurance

11/01/2005

Denotes the differences in the requirements and effects of insurance disclosures under Reg. Z and the Consumer Protection in Sales of Insurance.

Images of Katrina PowerPoint

10/01/2005

Katrina photos that may be used for flood, disaster recovery or other training.

Guide for Brainstorming for Risk Analysis

09/01/2005

A starter document for assessing risk areas on major lines of business within the bank.

New Employee Compliance Training PowerPoint

06/01/2005

This is a PowerPoint presentation designed to acquaint new employees with basic compliance requirements.

CIP - Risk Analysis Worksheet

03/01/2005

This is a CIP risk analysis worksheet for new and existing accounts.

FACT Act Policy

02/01/2005

FACT Act policy template. This may be included in your FCRA Policy.

Alien Identification Procedures

01/15/2005

Information for proper identification of alien customers and risk assessment data relating to lending to aliens.

New Hire Training

01/15/2005

Compliance primer for new hires with blanks to be filled in during training or as a test afterwards.

Escrow Analysis

01/15/2005

Escrow calculation spreadsheet for TRID 1024.17 and RESPA 3500.17 loans.

314(a) "What to Search" Cheat Sheet

01/15/2005

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

Internal Audit Risk Assessment

01/15/2005

A risk assessment model that would be used to assist with the audit scheduling with input from Audit/Compliance and management.

SKIPO Training Game

01/15/2005

A compliance training game, SKIPO Jeopardy is used to train staff on Suspicious Activity, Know Your Customer, Information Security, Privacy/Identity Theft, and OFAC.

Lobby Notice Requirements Chart

01/15/2005

Chart of required lobby signage.

Business Debit Card Agreement

01/15/2005

Sample Business Debit Card Agreement.

Community Development Tracking Forms

01/15/2005

A series of CRA worksheets to track community development investments, loans, donations and services.