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Operational Risk

A visually engaging image depicting a bank branch, with security elements like CCTV cameras, cash registers, and personnel in a professional setting, emphasizing operational risk management.

Operational Risk Awareness Quiz

Test your knowledge and awareness of operational risk procedures with our comprehensive quiz designed for financial professionals. Ensure you're up-to-date on critical security protocols and customer service guidelines.

Engage with 14 thought-provoking questions
Identify areas for improvement in your operational risk knowledge
Gain insights into best practices in the financial industry

14 Questions4 MinutesCreated by SecureGuard234

What do you do if you arrive at the meeting point in the morning and you are notified that all other staff are delayed?

Go in alone and open the branch

Keep waiting outside

Call corp to watch CCTV while you enter

Call RM and keep waiting

On the traffic light system what does RED mean?

Someone forgot to set the alarm

The alarm has been set off or tampered with

The alarm isn't working

Someone is inside and the alarm has been disabled

How much cash can you hold in your till draws?

£4000

£2500

£3000

£5000

When should your till draws be locked?

Any time they are not in use

Any time you leave the counter

Any time you leave the banking area

Any time you sign off the counter

What do you do when a customer looses a joint account passbook?

Issue a new passbook

Check ID and issue a new passbook

Contact the other account holder before issuing a new passbook

Issue a new passbook and send a letter to the other account holder

If an account is inactive what document must you take to reactivate the account?

Re-activation form

Account passbook

Up to date ID

2 forms of ID

What is the maximum we can do via ET?

£30,000

Up to £250,000 for house purchase

£25,000

£50,000

Can a POA amend external bank details?

Yes

Only if they provide evidence of the external account

Only if the Donor is named on the account

What is a SARS?

Suspicious activity referral form

Suspicious alert referral form

Suspected action referral form

Suspicious application referral form

What is banking protocol?

The policies and procedures we follow as a building society

Rapid police response scheme to fight scams and fraud

Reporting system for fraud and scams

A group of procedures relating to how we deal with withdrawals and investments

What 3 Key areas must you adhere to to ensure customer information is secure?

Secure waste

Clear desk policy

Secure door policy

Lock Screen policy

What does FOS stand for?

Financial Ombudsmen Service

Financial Outting system

Fiscal Ombudsmen Service

Fiscal Outting System

Which one is NOT a Regulatory body that we follow

PSR

SFC

GDPR

PRA

Who is responsible for the security of till keys

The Branch manager

The Customer manager

The most senior member of staff

The person operating the till

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