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The most dreaded of them all—the IT exam
Trey Sullivan |
The new federal regulations spawned by 9/11 and the
continuing threat of terrorism have permanently changed the way you do
business. In the maze of new procedures and reports, nothing strikes more fear
into more hearts than the IT compliance exam. This month’s
feature article
shows how two community banks prepared for the test—and what they wish they had
known before the exam. They also discuss the unique challenges of working in a
small IT department.
Last month,
we asked whether you should allow customers to open accounts online, despite
compliance concerns. Our readers answered
the compliance dilemma and suggested how online approval could be used
effectively. This month, we ask how you can help an employee who lacks the “old
school” worth ethic. What’s the best way to motivate an employee without
intimidating them? We need
your advice.
To keep this material
relevant to you, I invite you to become actively involved with this newsletter.
Please send ideas for articles you’d like to see. Let me know how successful we
are at topics that are relevant to you – and your career. Take this
5-minute survey,
and you could
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Preparing for an IT Security Audit
Learn specific strategies and implementation methods to:
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Reduce fraud risk from unauthorized system access
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Satisfy GLBA requirements and other security regulations
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Build a compliance blueprint for your institution
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Help Us With Your
Opinion |
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Our
goal at ATTUS Technologies is to continually develop new and effective
compliance management solutions for financial institutions. Input from our
customers and friends is critical to our planning and we need to hear from you.
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Last Issue's Dilemma:
To Open or Not to Open
We want new
customers to be able to open accounts through our website. The convenience
would be great for our customers, but we are wondering how we can stay
compliant with federal regulations if we offer this service.
Should we
focus on customer convenience or compliance with regulations?
—Brian M.,
Credit Union VP
Read the best advice from readers
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This Issue's Dilemma:
How can I instill the 'old school' work ethic?
Since I have only 10 customer service reps at our community bank, even one who is not productive creates a problem. I hired 'Robert' right out of college. It bothers me to see the lack of commitment he seems to have. He is often late, misses days and seems to feel that’s OK. His work gets behind and it doesn't seem to faze him. If he is having a bad day, he is rude to our bank’s oldest customers. Taking ‘shortcuts’ and missing details, which generate extra work for me, seem to be the norm.
I have trained him and explained his importance to our success. We pay a fair salary and have tried positive motivation. Nothing seems to work. He’s a nice enough guy and I don't want to give up on him, but his lack of work ethic results in me not being able to focus on building new business and customer service when he's working. Perhaps I’m dating myself, but it seems to me that he just doesn’t understand the 'old school ethic'—that a successful career doesn’t happen without hard work and dedication. I could replace him, but I already have a big investment in him. I could 'crack the whip' and be intimidating, but that’s not my style or wish.
Would you ask your readers how they would instill that 'old school ethic' in him?
—Old-school in Oklahoma, institution withheld
Can You Help?
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Fraud and AML
Monitoring: Stay ahead of the bad guys |
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Change Management:
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Government
Regulations: Keep up with your changing environment |
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