Bank Operations Checklists

Up-to-Date Banking Checklists Developed By Experts

Checklists and worksheets are multi-functional. Both are provided in modifiable formats to be made unique to each specific users policies, but include step-by-step processes to take the user through all the required documentation for each banking process as well as step-by-step procedures to complete any in-house audit or monitoring project. These checklists and worksheets will ensure the financial institution has implemented consistent processes across branch lines, and has complete documentation of those processes.

Last Updated Tool Name
02/27/2019 BSA/AML Risk Rating Worksheet for Personal Accounts
10/19/2018 BSA/AML Risk Rating Worksheet: Business Accounts
12/18/2017 New Branch Opening Checklist
05/19/2017 Business CIP Checklist
05/05/2017 General Ledger Reconciliation Worksheet
03/31/2017 Employee Account Audit Worksheet
10/11/2016 Individual – CIP Address Discrepancy Verification Worksheet
08/31/2016 Diversity Self-Assessment Template
01/07/2016 Instant Issue Debit Card Audit
06/23/2015 BSA AML Worksheet: Tracking List for Customers with Elevated Risk Designations
04/21/2015 Account Takeover Audit Worksheet
03/23/2015 Night Drop Audit Worksheet
03/05/2015 Red Flags Checklist
03/05/2015 Privately Owned ATM Customer Due Diligence Risk Worksheet
03/05/2015 Red Flags Checklist for Address Discrepancy
01/02/2015 ACH Audit Worksheet
01/02/2015 FDIC Compliance Information and Documentation Audit Worksheet
01/02/2015 Customer Identification Program (CIP) Risk Assessment Worksheet
01/02/2015 Branch Opening CRA Analysis Worksheet
01/02/2015 Annual Exemption Review Checklist
01/02/2015 ACH Third-Party Sender/Originator Agreement Checklist
01/02/2015 Money Service Business Risk Assessment Worksheet
01/02/2015 Individual Customer CIP Checklist and Risk Profile
01/01/2015 Regulation CC Expedited Funds Availability Checklist
01/01/2015 Funds Transfer Audit Worksheet
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