Bank Examination Tools

Preparing for an upcoming examination, or even addressing previous examination findings can be a daunting task. Keeping that in mind, we have provided our members with access to a suite of tools and resources to assist the bank in preparing for an exam or an audit, as well as addressing findings. Our suite of tools include policy templates, recommendation tracking tools, checklists, risk assessments, worksheets, training tools and much more.

Last Updated Tool Name
01/01/2015 5 Step Risk Assessment Procedures
01/01/2015 Action Item Tracking Worksheet
11/08/2017 APPENDIX A-Certification Regarding Beneficial Owners of Legal Entity Customers
01/01/2015 Audit Certification Worksheets
01/01/2015 Board & Audit Committee Oversight Worksheet
02/08/2021 CFPB Supervision and Examination Manual Training
01/01/2015 Compliance Audit and Training Schedule
01/01/2015 Compliance Training Tracker
08/07/2020 COVID-19 Enterprise-Wide Risk Assessment
03/31/2017 Employee Account Audit Worksheet
01/29/2016 FAST Act Summary
01/06/2016 Flood Insurance Webinar: The Basics and the Updates PowerPoint
01/01/2015 OCC - Regulatory Hot Topics and Focus Points Handout
01/01/2015 OCC - Regulatory Hot Topics and Focus Points Webinar PowerPoint
03/19/2021 Regulatory Change Management Tracker
09/02/2020 Regulatory Policy and Training Requirements
09/08/2015 Requirements for Banks Over Certain Thresholds - Audit and CRA
01/01/2015 Risk Management Summary
01/01/2015 Risk Management Committee Charter Cheat Sheet
01/01/2015 Risk Management Program
07/23/2020 Safety and Soundness Incoming Information Assessment
01/01/2015 Training Assignments by Department
03/09/2017 Uniform Interagency Consumer Compliance Rating System Cheat Sheet
02/28/2017 Uniform Interagency Consumer Compliance Rating System Summary
09/29/2016 Written Business Continuity Plan (BCP) Basic Checklist