Workflows

Workflow

Category

Type

Steps

Schedules

Sessions

Gather evidence

BSA/AML

Alert run

—

—

11

Apply release tests

BSA/AML

Alert run

—

—

10

Draft dispositions

BSA/AML

Alert run

—

—

5

Draft disposition

BSA/AML

Alert

—

—

9

Check device and login

BSA/AML

Fraud alert

—

—

1

Check payee

BSA/AML

Fraud alert

—

—

1

Screen customers and payments

BSA/AML

Sanctions scan

—

—

1

Compare identifiers

BSA/AML

Sanctions scan

—

—

3

Check cleared list

BSA/AML

Sanctions hit

—

—

2

Map fund flow

BSA/AML

Investigation

—

—

2

Pull 12 months of activity

BSA/AML

Investigation

—

—

2

Check prior SARs and 314(b)

BSA/AML

Investigation

—

—

—

Draft narrative

BSA/AML

Investigation

—

—

1

Pull activity vs. expected

BSA/AML

EDD review

—

—

1

Check licenses and adverse media

BSA/AML

EDD review

—

—

1

Draft rating

BSA/AML

EDD review

—

—

1

Pre-fill FinCEN SAR

BSA/AML

UAR

—

—

—

Validate against FinCEN rules

BSA/AML

UAR

—

—

—

Pull activity since the prior SAR

BSA/AML

Continuing UAR review

—

—

—

Compare to the reported pattern

BSA/AML

Continuing UAR review

—

—

1

Draft decision

BSA/AML

Continuing UAR review

—

—

1

Pull 25 auto-clears

BSA/AML

QC sample

—

—

1

Re-run release tests

BSA/AML

QC sample

—

—

1

Impact assessment

Compliance

Change Management

—

—

—

Review draft disclosures

Compliance

Change Management

—

—

—

Capture page

Compliance

Marketing Review

1

—

—

Check Regulation Z advertising

Compliance

Marketing Review

2

—

—

Check deception standard

Compliance

Marketing Review

1

—

—

Draft determination

Compliance

Marketing Review

1

—

—

Validate remediation

Compliance

Issue Management

—

—

—

Compare to the prior version

Compliance

Document Review

1

—

—

Check against the rules

Compliance

Document Review

1

—

—

Pull sample

Compliance

Monitoring and Testing

1

—

—

Test samples

Compliance

Monitoring and Testing

2

—

—

Assemble request responses

Compliance

Audits

—

—

—

Download list

BSA/AML

314(a) list

—

—

3

Search Hickory FI card

BSA/AML

314(a) list

—

—

3

Search Hickory FI deposits

BSA/AML

314(a) list

—

—

3

Draft determinations

BSA/AML

314(a) list

—

—

3

Draft response

BSA/AML

314(a) list

—

—

3

Check prior UARs and 314(b)

BSA/AML

Investigation

—

—

1

Pre-fill UAR to Old Hickory Bank

BSA/AML

UAR

—

—

1

Validate against the bank's UAR requirements

BSA/AML

UAR

—

—

1

Pull activity since the prior UAR

BSA/AML

Continuing UAR review

—

—

1