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New Account Opening
General Ledgers
Proprietary Policy
Cash Controls
Regulatory & Operational Compliance
100
What is the report name we pull daily to ensure we have all the new accounts for yesterday's date?
What is the IM41N21-New Account Report?
100
What system(s) are used to monitor G/L Tickets?
What is ReConPlus or Acquire
100
What information is required on the keys/combination envelope?
What is the date, sealed and documented with evidence of dual control
100
What are the 3 items audited during the quarterly surprise audit?
What is Cash, Cashier Checks and Bait Money?
100
What section of the safe deposit box contract must be completed when surrendering a box?
What is the 'surrender section' of the safe box contract
200
What system is used to screen potential new bank customers?
What is QualiFile
200
What information must be completed on G/L tickets?
What is the description of why the ticket was prepared, the date, amount, and approvers evidence of authorization.
200
Who must be identified before being granted entry to the branch prior to opening?
What is Non-Staff Individuals
200
How often and when are surprise audits conducted on the vault?
What is weekly and on staggering days
200
What is each branch issued in case of system failure, natural disaster etc..?
What is the Branch Continuity Plan (Disaster Recovery)
300
What must all new business accounts have completed and on file?
What is Capital One Entity Resolution
300
General ledger tickets must be used in ___________ and if not an explanation must be provided?
What is "in sequence"
300
What must be removed from the Night Depository under dual control and provided to a teller to maintain under sole control during the business day until retrieved by the customer?
What is 'Do Not Work' bags
300
What must be completed in its entirety when accessing the vault in the absence of the custodian?
What is the vault log
300
At the opening of the inspection what areas will be reviewed for customer sensitive information that was left unsecured during non business hours?
What is all desks, teller stations, and credenzas
400
What form must be properly completed when opening a trust account?
What is the Certificate of Trust form
400
When are CIT general ledgers stale dated? When are all other G/L stale dated?
What is CIT general ledgers are stale dated at 15 days All other general ledgers are stale dated at 45 days
400
How long should branches retain checks?
What is the current week and three previous weeks (21-28 days)
400
What must be done by the dual control team before adding or removing funds from the vault?
What is a bulk count of the vault funds
400
What information is required on cash advance receipts?
What is ID state of issuance, type, number and expiration date. Customers physical address and phone number, last four digits of credit card number, customer signature, date of transaction and evidence of appropriate approver.
500
What information is reviewed for completion and accuracy on consumer new account cards?
What is 1. All required customer signatures 2. Welcome kit acknowledgment 3. Proper entry of account information i.e account number, customer name matching TouchPoint 4. Management Approval 5. Verification of address (not opened using branch address)
500
What report is monitored for unusual activity and what sheet must be documented by a signature, date and required comments?
What is the GOEOM60 report and the GL Account Monitoring Worksheet
500
What information is required on the bag of vault supply instant issue debit cards?
What is the date, carton number, box number, sequential number, dual control initials and expiration date of cards.
500
When are sole/vault cashiers checks audited? What report(s) are you required to print?
What is Sole- During Surprise Audit Vault- Quarterly Detailed Inventory
500
What steps are taken when a wire is not approved on the same day it was originated?
What is verify the discrepancy or reason not sent is noted on form and verify customer is notified