Policies & Procedures
If something doesn’t feel right and you want to raise your hand, where should you go to find guidance or support?
HR or Ethics Hotline
Where should you review account‑level and customer‑level remarks to look for suspicious activity?
ESS
What is the purpose of the TPS warning for excessive ID or account usage?
To help stop fraudulent check passers from going branch to branch using split deposits or cashing checks
True or False: If no answer key is provided, it’s okay to guess during the assessment.
False
True or False: TPS warnings always mean fraud is occurring.
False
Who should you ask for help if you’re having trouble locating the correct response during your Branch Assessment preparation?
Your manager or SOTL
When suspicious activity is suspected, what should you maintain control of during the transaction?
Customer ID and transaction items
Why might multiple deposits, cashed checks, or withdrawals within a three‑day period be a concern?
It can be an indication of fraud, even though legitimate situations may exist
What is a common mistake that could result in an audit concern during the Branch Assessment?
Not knowing where to locate guidance in MAX Knowledge
True or False: Submitting an Investigative Referral is one appropriate step when fraud is suspected.
True
During a Branch Assessment, what is more important than memorizing answers?
Knowing how to locate guidance in MAX Knowledge
What form should be submitted if suspicious activity or fraud is identified?
Investigative Referral Form
If fraud red flags are present, what are two actions you could take immediately?
What should you not do if TPS warnings or fraud indicators appear?
Ignore the warning or proceed without taking appropriate risk‑mitigation steps
True or False: During the assessment, you may be asked to “show me” where to find guidance instead of giving the answer.
True