RRM Interview
Client's behavior and activity on how they are utilizing their account would prompt you to submit this report.
What is an SAR? (Suspicious Activity Report)
This checklist should have no days in red from the previous month
What is the open/close checklist?
These numbers are accurately recorded every quarter and is stored in all drawers and vaults as a theft deterrent.
What is bait money?
These comments must accurately reflect who set up the trust, and will be added through quest.
What are Grantor remarks?
When opening an account or doing an FWR over the phone this must happen first.
What is OTP?
KeyBank Hold-Check Notice is provided when this type of hold is placed.
What is a Reg CC hold?
This document should reflect current key and combo assignments for a teammate
What is key/combo workbook?
Your coin is stored here.
What is 3rd compartment or in the vault?
These are needed in order to remove a signer from an account.
What is Authorization to Remove (signed by all signers) or Death Certificate?
When taking an application in Key Counsilor this must happen immediately afterwards.
What is scanning an application into quick set?
When opening a new account these are provided to the client to be compliant with Reg DD and Reg Z.
What are product specific disclosures?
This ATM-related document must be properly completed and the keys securely stored.
What is the ATM-Mas Hamilton log?
What is underneath 20's, 50's or 100's?
Most accounts that are audited by the RA's are opened on this platform.
What is Key Counselor?
Safeguarding data includes:
What is locking your computer and all documents up with information on them when not at your desk?
Three examples: Client coming in stating they were charged an inaccurate fee. Client comes in asking to check their balance. Client claims they have an account they did not request to open. These are examples of what in order?
What is a dispute, inquiry, and complaint?
This list must include all current employees in case of emergency.
What is the recovery log?
When a teammate is unexpectedly absent for these many days, an audit is required.
What are 5 or may consecutive days?
This document must be stored with the signature card when opening a trust account.
Marketing materials stored at your desk should be within this timeframe.
What is 12 months?
Client gets a marketing premium offer. You do these things with them:
What is reviewing fine print, disclosures, and providing client with copy?
Branch employees should be able to identify these three security signals.
What is in-progress, all-clear, and passphrase?
Branch employees must know their override limits - these can be found in this app.
What is branch guidelines?
Even for existing clients, branches must confirm this for each new business account to ensure accuracy
What is complete and current supporting/legal document?
This log needs to be filled out entirely when sending and receiving cash.
What is Armored Courier log?