| ADA | BSA / AML | INFORMATIONAL SECURITY | COE | MISC |
|---|---|---|---|---|
|
American Disabilities Act
What is ADA stand for?
|
Bank Secrecy Act
What does BSA stand for?
|
What are we expected to know about informational security?
1. Keep "Confidential" and "Restricted" documentation locked up and safe during and after business hours.
2. Ensure computers are locked when away from desk/logged off after hours, and drawers are locked when you're not at your desk |
Code of Ethics
What does COE stand for?
|
1. A secure email should be sent when you're emailing a 3rd party.
2. You don't have to send a secure email when you're emailing internally.
1. When should you send a secure email?
2. When is it ok to not send a secure email? |
|
Your Phone and Monitor
Where should your ADA stickers be located on your desk?
|
Anti-Money Laundering
What does AML stand for?
|
No longer than 90 days after funding, cancelation, or withdrawn.
How long should we retain customer's loan info?
|
To serve Wells Fargo's best interests, preserve confidentiality, and avoid conflicts of interest
Why is the code of ethics important?
|
In Break room/Admin area
Where are the worker's comp and federal all-in-one posters?
|
|
Take the call as normal
What is our process for accepting a relay call?
|
Structuring
Austin walks into a branch and deposits multiple deposits under $10,000. This is an example of what?
|
Breach of security information
Emailing the wrong person customer info or a closing package is missing/went to the wrong address. What are these examples of?
|
Report it to the "EthicsLine"
If you were pressured to perform an activity or make a decision you felt wasn't right, what should you do?
|
1. You would submit a service level complaint in C2C.
2. Immediately go to CCRG.
1. Where do you go to submit a Service Level complaint?
2. You're talking to a customer and they say, "I'm going to get my attorney!". What should you do? |
|
Relay calls
Braille Large print
What services do we provide for ADA?
|
Why is the BSA/AML important?
To ensure the bank isn't used to enable money laundering or other illegal activities. examples: structuring
unusual activity large amount of outsourceable cash |
Contact your manager and report it to [email protected] email, or phone(877-494-wells)
What action would you take if a breach of information has occurred?
|
None. you can stay anonymous
What information do you need to give when calling the ethics hotline?
|
1. SOTA
2. Person Name / Company (1 public info, 1 private info). 3. 1 public info (name address), 1 private (acct # / last 4 digits of SS#).
1. How do you verify if a caller was internal?
2. How do you verify a 3rd party caller? 3. How do you verify if a caller was a customer? |
|
ADA - Large Print > input notes in "other" to request
What is the name of the link for where you are to request a request for large print/braille?
|
In your compliance links there is a link to UAR. What does UAR stand for?
Unusual Activity Referral
|
Informational security - compromised data
Which of the below links would you go to submit a breach on information?
|
Code of Ethics - Homepage
Which of the below links would you go to submit a code of ethics violation?
|
1. Immediately
2. Up to 45-60 days
A customer requests to be put on the do not call list.
1. How soon do you need to submit 2. How long before it takes effect? |
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